Broker Check

Documents Needed For Financial Planning

Some or all of the following documents provide information that is important as we work to create your financial plan.  This material will be entirely confidential and returned when your plan is completed, or earlier, if requested.

Income Tax Returns (prior 2 years)

  • Self
  • Spouse

Savings and Retirement Statements

  • Pension Plan/Profit Sharing
  • Keogh/SEP
  • 401(k)/Tax Sheltered Annuity
  • 401(k)/Tax Sheltered Annuity
    • Employee Deferred Compensation
  • IRA/Roth IRA
  • Savings
  • Mutual Funds and Brokerage Accounts
  • Social Security Statements

Insurance/Annuity Contracts, Statements and In-force Illustrations

  • Life
  • Health
  • Disability
  • Group Insurance
  • Annuities
  • Long Term Care
  • Umbrella Policy

Financial Plan(s) and Analysis

  • Existing Comprehensive

Most Recent Payroll Stub

  • Self
  • Spouse

Company Benefit Statements/Booklets

  • Self
  • Spouse

Current Financial Statements

  • Personal Net Worth
  • Monthly Expenses


  • Self
  • Spouse

Business Documents

  • Income Tax Returns
  • Buy/Sell Agreement
  • Deferred Compensation
  • Wage Continuation
    • Employment Agreement
    • Group Benefit Programs
  • Other Employer Paid Benefits

We look forward to meeting with you!

Let us know if you have any questions. 

*For a printable version of this document, click here.