Broker Check

The following documents 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.

EMPLOYER

  • Two most recent paystubs
  • Employee benefits booklets
  • Retirement savings plans available through employer
  • Pension plans

PERSONAL FILES

  • Income tax returns for previous two years including
  • W-2s and 1099s
  • Wills and Powers of Attorney for healthcare and financial decisions
  • Trust Agreements
  • Social Security benefit statement if available
  • Major asset purchase details
  • Cash Flow Worksheet 

BANK OR CREDIT UNION

  • Checking account statements
  • Savings / CDs / Money Market account statements
  • Loan documents including mortgage
  • Credit Card statements

BROKERAGE OR MUTUAL FUND COMPANY

  • Latest monthly statements

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

BUSINESS

  • Buy-Sell Agreements
  • Income tax returns
  • Deferred Compensation Agreements
  • Stock / Options / Bonus Plans

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