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
- 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.