TRADER EVALUATION QUESTIONNAIRE For your convenience you can either complete and submit the questionnaire online or print it for later completion and submission by mail or fax. To print click here, otherwise proceed to answer all questions and submit to us online for a faster response. *Name: *Address: *City: *State: *Zip: Telephone: Home Work Fax: *E-Mail:   Single Married # Children: Your Age: Spouse's Age: Children's Age(s) Note: It is very important for purposes of this evaluation that you thoroughly complete the foregoing information. What do you trade/invest? (select all that apply) stocks   bonds   futures options   commodities   mutual funds  other How many transactions do you average per month? select one 1-10 11-30 31-100 over 100 What is your average holding period? select one minutes hours 1 day 2-7 days 8-30 days over 30 days When did you start to trade/invest? Do you consider yourself a trader? YES   NO Do you trade/invest full time? YES   NO If you have another job, what is it? If you have another job is it full time part time How frequently do you trade? select one intraday daily weekly monthly When you are not making trades, how closely do you watch the market to evaluate whether or not you should trade select one intraday daily weekly monthly Do you keep a trading journal to evidence time spent trading/watching the market? select one never infrequently frequently always How many hours per week do you devote to your analysis and your trading/investing? select one 1-5 6-10 11-20 over 20 Do you have the expectation of Short or Long Term profits from a position? select one always Short sometimes Short sometimes Long always Long Do you intend to receive dividends from your positions? YES NO Have you ever been audited? YES NO When? Give details and disposition of audit. Have you ever filed a Schedule "C" listing yourself as "Trader"? YES NO Have you ever filed a Schedule "C" as another sole proprietor business? YES NO Have you ever reported a Schedule "C" loss? YES NO What years and how much of a loss? If so, have you shown a loss in the past two years? YES NO Do you have an office to trade from? YES NO If "yes" what type of office? Home Commercial/       Business office Do you use a trading system? YES NO Describe it briefly. What is your method of trading? Technical Analysis Fundamentals Is your objective to take advantage short term price fluctuations and derive profits from frequent trading? YES NO Are you a member any nationally recognized stock or commodity exchange(s)? YES NO If so, name them What percent of your portfolio invested in longer term positions as opposed to trading (Give specific amounts). Amount: select one under $50,000 $50 - 100,000 $100 - 250,000 250 - 500,000 over $500,000 Percentage: Do you have a set of books and journals to track your time trading & your expenses? YES NO Do you maintain a set of books and journals reflecting the profit, loss and expenses of your trading activity? YES NO How do you keep track of open positions, gains, losses, and other trading activity? How do you keep track of expenses? How many seminars on trading/investing have you attended in the past two years? Amount: select one none 1-3 4-5 5 What was the cost to you for attending (including tuition, travel, meals, lodging, etc.)? Amount: select one under $2000 $2000 - 5000 $5000 - 10,000 How much have you spent on equipment, data, books, trading systems and other related products in the past year? Amount: select one $500 $500 - 2,000 $2,000 - 5,000 $5,000 - 10,000 over $10,000 What is your year-to-date trading profit or loss for the current year? Amount: select one under $25,000 $25,000 - 50,000 $50,000 - 100,000 $100,000 - 250,000 $250,000 - 500,000 over $500,000 Was it a loss or profit? Loss Profit What was your trading profit or loss last year? Amount: select one under $25,000 $25,000 - 50,000 $50,000 - 100,000 $100,000 - 250,000 $250,000 - 500,000 over $500,000 Was it a loss or profit? Loss Profit What is the size of your trading account? Amount: select one under $25,000 $25,000 - 50,000 $50,000 - 100,000 $100,000 - 250,000 $250,000 - 500,000 over $500,000 How much do you have invested in other liquid assets such stocks bonds etc.? Long stocks/equities $ CDs $ Treasury Bonds $ IRAS $ Other $ Specify What was your adjusted gross income last two years (previous two tax returns filed)? Last Year: Year: Amount: The year before last: Year: Amount: What is your household income from non-trading sources (e.g. wages, spouse's wages, business & partnership interests, rental property, pensions, etc.) Amount: select one under $25,000 $25,000 - 50,000 $50,000 - 100,000 $100,000 - 250,000 $250,000 - 500,000 over $500,000 Thank you for taking the time to fill this out. The information you have provided is confidential. Yes! I Would Like More Information on the following Programs: Ways to avoid audit and bulletproof your tax return Floating tax-free, interest-free loans from your retirement plans Reverse gift to parents program Retirement Plans that benefit me -- not just my employees or employer Family Limited Partnerships Deducting your IRA prior to contributing any money Setting up retirement plans after year end Defined benefit plans Annuities that trade like mutual funds Earmarking of shares of stock to decrease capital gains Charitable Remainder Trust Trader Status How contributing early in life triples your return Crummey Trusts The criteria for deducting anything The VEBA -- The second greatest tax shelter available today! (Move over Trader Status) Please let us know how you would like us to respond this questionnaire : Please respond via email to the email address listed above. Please respond via fax to the fax number listed above. Please respond via mail to the address listed above. PLEASE NOTE: We will provide each respondent with a free Trader Status evaluation, however, it is extremely important to answer all questions completely and accurately. The designation A Trader Status is highly subjective, and in order to substantiate it, we must have all the information that is requested above. We will respond to your request for an evaluation as promptly as we can - once the information is received by our office. Thank you, and we look forward to working with you. Ted Tesser Courtesy of Waterside Financial Services, Inc. Ted Tesser 1-800-556-9829 email: info@tedtesser.com www.tedtesser.com