Broker Check
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Documents Needed

The following documents will be needed to properly study, analyze, and
prepare a personal plan for you. This material will be treated confidentially
and returned when the planning process is completed, or earlier if requested.

Please print out and bring to appointment

  • Latest income tax returns
    • Loan documents
    • Wills
    • Trust agreements
    • Major Asset purchase details
    • Other
  • Employee
    • Payroll or other income statements
    • Employee benefits booklets
    • Retirement savings plan information (including balances investment options, employer and employee contributions, loan balances)
    • Pension plan information (current vested values at retirement)
    • Other
  • Bank or Credit Union
    • Checking account balance(s)
    • Savings/CDs/Money Market account balance(s)
    • Credit Card balances and interest rates (if any)
    • Other Broker or Mutual Fund Company
    • Latest monthly statements
    • Other
  • Insurance Company
    • Latest life insurance/annuity account statements
    • Health insurance/hospital and major medical policy information
    • Disability income insurance policy information
    • Property and Casualty policy information
    • Long-Term Care policy information
    • Other
  • Business
    • Buy-Sell Agreements
    • Stock/Option/Bonus Plans
    • Employee Benefits Plans
    • Other