Broker Check




INITIAL MEETING CHECKLIST




Prepare yourself for the first meeting

We are dedicated to your overall financial success. Before the first meeting, please review the checklist below and gather relevant documents. This will ensure we can spend our time together focusing on your financial goals and objectives.

Copies of your investment statements:
• Brokerage Accounts
• Mutual Funds
• Annuities
• CDs with Maturity Dates
• IRAs
• Previous and Current 401(k)/ 403(b) Accounts
• Education Accounts (529, UGMA, Coverdell IRA)
• Social Security Statements

Copies of your insurance policies:
• Life (Term, Whole Life, Universal, Indexes and/or Variable)
• Long Term Care
• Disability Insurance Statement
• Home, Auto and Liability/Umbrella Insurance Declaration Pages

Miscellaneous:
• Most Recent Tax Returns
• Mortgage Statements
• Wills
• Trusts
• Personal Monthly Expense Breakdown