Broker Check

What to Bring

Information Checklist

Use this checklist to assist you in collecting helpful information for a complete financial plan. The more accurate the information that you give to us, the more complete and accurate your financial plan can be. If you have any problems locating any of these documents, please don’t hesitate to call.

  • Expense Worksheet filled out as completely as possible
  • Investment account information; include names of securities, share balances, and current statements, original cost and date of purchase
  • Bank account information; include balances for savings accounts, money market accounts and certificates of deposit (with maturity dates)
  • Estimates of all assets & balances including:  home equity & mortgages, business interests, auto loans including year, make & model, estimated market value and loan value, and credit card balances
  • Trusts or gift arrangements
  • Pension, 401(k), and profit sharing balances, contribution amounts
  • IRA, Keogh, TSA statements or contracts
  • Previous year’s tax return 
  • One full month’s pay stubs
  • Existing life insurance policies and current premium information
  • Existing health/medical coverage, long-term care & disability policies or employer benefit books