Routing for UAS608

Routing for UAS608

ex_intro

This surveys asks about interactions you may have had with a financial professional.

A financial professional is an investment adviser, a representative of a broker-dealer, an insurance agent, or someone similar.

ex001 (ever worked with a financial professional who recommended investments or investment strategies)

Have you ever worked with a financial professional who recommended investments or investment strategies (or gave you other advice) about how to invest your retirement savings?

1 (YES) Yes
2 (NO) No

if ex001 = 1 then

ex002 (currently working with a financial professional to obtain recommendations)

Are you currently working with a financial professional to obtain recommendations or other advice about your retirement investments?

1 (YES) Yes
2 (NO) No

ex003 (ever received advice from financial professional about moving funds from workplace retirement savings progra)

Have you ever received advice from a financial professional about moving funds from a workplace retirement savings program (such as, for example, a 401(k) plan) into an IRA or an annuity? Moving funds from a workplace retirement savings program into an IRA or annuity is called a “rollover.”

1 (YES) Yes
2 (NO) No

if ex003 = 1 then

ex004 (recommend that move funds out of workplace retirement savings program)

Did the financial professional who provided you advice about a rollover recommend that you move funds out of your workplace retirement savings program?

1 (YES) Yes
2 (NO) No

if ex004 = 1 then

ex011 (expected financial professional provided recommendations or other advice as fiduciary)

I expected that the financial professional who provided recommendations or other advice would do so as a fiduciary.

1 Yes
2 No
99 Don't know

ex005 (understood financial professional was required to make that recommendation in best interest)

I understood that the financial professional who recommended that I move my funds out of a workplace retirement savings program into an IRA or an annuity was required to make that recommendation in my best interest.

1 (YES) Yes
2 (NO) No

End of if

End of if

ex_intro2

For the next questions, please let us know how much you agree or disagree with the following statements.

if ex002 = 1 then

ex006a (expect financial professional provides recommendations or other advice in best interest)

I expect that the financial professional who provides recommendations or other advice will do so in my best interest.

1 Strongly agree
2 Somewhat agree
3 Neither agree nor disagree
4 Somewhat disagree
5 Strongly disagree

ex007a (trust financial professional provide recommendations or other advice in best interest)

I trust my financial professional to provide me recommendations or other advice that is in my best interest.

1 Strongly agree
2 Somewhat agree
3 Neither agree nor disagree
4 Somewhat disagree
5 Strongly disagree

ex008a (have confidence in financial professional and recommendations or other advice provides)

I have confidence in my financial professional and the recommendations or other advice he/she provides me.

1 Strongly agree
2 Somewhat agree
3 Neither agree nor disagree
4 Somewhat disagree
5 Strongly disagree

Else

ex006b (expected financial professional provided recommendations or other advice in best interest)

I expected that the financial professional who provided recommendations or other advice would do so in my best interest.

1 Strongly agree
2 Somewhat agree
3 Neither agree nor disagree
4 Somewhat disagree
5 Strongly disagree

ex007b (trusted financial professional provide recommendations or other advice in best interest)

I trusted my financial professional to provide me recommendations or other advice that was in my best interest.

1 Strongly agree
2 Somewhat agree
3 Neither agree nor disagree
4 Somewhat disagree
5 Strongly disagree

ex008b (had confidence in financial professional and recommendations or other advice provides)

I had confidence in my financial professional and the recommendations or other advice he/she provided me.

1 Strongly agree
2 Somewhat agree
3 Neither agree nor disagree
4 Somewhat disagree
5 Strongly disagree

End of if

ex009 (financial professionals who provide recommendation required to act in client's best interest.)

Financial professionals who provide recommendations or other advice about retirement investments should be required to act in their client’s best interest.

1 Strongly agree
2 Somewhat agree
3 Neither agree nor disagree
4 Somewhat disagree
5 Strongly disagree

ex010 (financial professionals one-time recommendations required to act in client best interest)

Financial professionals who provide one-time recommendations or other one-time advice about retirement investments should be required to act in their client's best interest. An example of a one-time recommendation or advice is a recommendation to roll over funds from a workplace retirement savings program (such as, for example, a 401(k) plan) into an IRA or an annuity.

1 Strongly agree
2 Somewhat agree
3 Neither agree nor disagree
4 Somewhat disagree
5 Strongly disagree

Else

earlyexit

Thank you for your interest! We don't have any further questions for you at this moment. Click "Next" to return to your panel member pages.

dummy := doPayout(608, 1)

Exit the survey

End of if

CS_001 (HOW PLEASANT INTERVIEW)

Could you tell us how interesting or uninteresting you found the questions in this survey?

1 Very interesting
2 Interesting
3 Neither interesting nor uninteresting
4 Uninteresting
5 Very uninteresting

CS_003 (comments)

Do you have any other comments on the survey? Please type these in the box below. (If you have no comments, please click next to complete this survey.)

STRING

dummy := doPayout(608, 3)