Broker Check

What to Bring

When starting the financial planning process, we recommend you bring the following documents to the meeting. They will be needed to 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.  

Personal Files

  • Personal Goals
  • Income tax return for the previous year including W-2s and 1099s
  • Wills and Powers of Attorney for healthcare and financial decisions
  • Trust Agreements
  • Social Security benefit statement 
  • Major asset purchase details
  • Expenses / Cash Flow Worksheet
  • Other: ________________


  • Paystubs or Earnings Statements 
  • Employee benefits booklets
  • Retirement savings plans available through employer
  • Pension plans
  • Other: ________________

Bank or Credit Union

  • Checking account statements
  • Savings / CDs / Money market account statements
  • Loan documents including mortgage
  • Credit card statements
  • Other: ________________

Broker or Mutual Fund Company

  • Latest monthly statements
  • Other: ________________

Insurance Company

  • Latest life insurance policy information and annuity account statements
  • Health insurance / hospital & major medical policy information
  • Disability income insurance policy information
  • Property & Casualty policy information
  • Long-Term Care policy information
  • Other: ________________


  • Business Goals
  • Buy-Sell Agreements
  • Income tax returns
  • Deferred Compensation Agreements
  • Stock / Options / Bonus Plans
  • Other: ________________