Industry regulations require brokerage firms to know their clients. Part of this process involves gathering information about your trading experience, your financial background (including net worth and annual income), and your investment objectives.

An investment objective is your overall outlook on trading for your account. Ally needs an accurate picture of your goals because we need to be sure the trades you make are suitable for your situation.

Here are some brief descriptions of terms related to investment objectives; see which applies best to your goals:


Preservation of capital with a primary consideration on current income.


Diversification of asset classes for an equal blend of income and long term growth with the primary consideration being current income.

Growth & Income

A balance between capital appreciation and current income with the primary consideration being capital appreciation.

Long Term Growth with Safety

Long Term capital appreciation with relative safety of principal.

Long Term Growth with Greater Risk

Long term capital appreciation with greater risk.


Maximum total return involving a higher degree of risk through investment in a broad spectrum of securities.


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