Not sure what to bring to your first meeting with your Financial Advisor or Consultant? Our free financial planning checklist makes it easy to feel prepared. 

Below is a list of documents we will ask you to provide to your Financial Advisor or Consultant. These will be used to tailor a financial plan to meet your life goals and will allow your Financial Advisor or Consultant to analyze your personal situation. Please provide your most recent statements.

Retirement Planning Statements

  • IRA or Roth IRA, 401(k), 403(b), TSA, Keogh statements 
  • Employee benefits program (employee benefit handbook or summary) 
  • Deferred compensation and stock option agreements 
  • Pension and profit sharing statements

Tax Planning Documents

  • Tax returns for last year
  • W-2 and a recent pay-stub 
  • Estimated taxes

Financial Documents

  • Bank account statements (checking, savings, CD, etc) 
  • Mutual fund statements 
  • Brokerage account statements 
  • Investment documents 
  • Loan documents 
  • List of stocks held outside of brokerages 
  • Partnership agreements

Asset Protection Documents

  • Life insurance policies and statements 
  • Medical, homeowners and auto insurance policies and statements 
  • Disability, umbrella and long-term care insurance policies 
  • Annuity policies and statements

Estate Planning Documents

  • Summary of your will, living will, durable powers of attorney and health care power of attorney
  • Living trusts

Additional Documents for Small Business Owners

  • Business agreements 
  • Business liability, director and officer insurance policies 
  • List of business assets 
  • List of business liabilities

We also offer additional Investment Services for business owners. See how we can help your business.

Our Financial Advisors and Consultants are available to put together a comprehensive financial plan, review your existing plan and suggest strategic changes and more. 

Click here to learn about financial planning at Merchants Investment Services and our process. Ready to get started? Contact us to make an appointment.


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