Broker Check

Comprehensive Planning Checklist

Items Needed for Comprehensive Planning

Please omit only items not part of your picture.

  • Copy of Drivers Licenses
  • Account Statements for: IRA’s, 401(k)’s, TSA’s, Deferred Comp Plans, Education Plans, 529’s, Coverdell ESA’s, UGMA/UTMA Accounts, Profit Sharing Account(s), Stock Option Plan(s), Pension(s), Mutual Fund(s), Annuities, CD’s, Brokerage Account(s), and any other investment accounts.
  • A link to the Summary Plan Description for your 401(k). (Call your Human Resource Dept.)
  • Pension Benefit Information; current or projected
  • Current balances in bank accounts (Checking, Savings, Money Market etc.)
  • Life Insurance – Cash value, premiums, dividends
  • Universal, Indexed, or Variable Life Insurance Policy Annual Reports
  • Social Security Benefit Statement, if currently available (not applicable at younger ages)
  • List of stocks/bonds held in certificate form (not in a brokerage account)
  • Real Estate List – Name, approximate fair market value
  • Most recently completed Federal Income Tax Return
  • Declarations Pages – Homeowners, Auto, Umbrella Insurance (Coverage, premiums, etc.)
  • Company Benefits (healthcare, group life insurance, long-term disability insurance, etc.)
  • Estate Plan Documents – wills, trusts, powers-of-attorney, etc.
  • Debts List – Balance, interest rate, and payments
  • Mortgages – Balance, interest rate, and payment amount (principal and interest only)
  • Existing beneficiary designations for your current assets
  • Approximate Personal Property Value – Furniture, appliances, jewelry, collectibles, vehicles, etc.
  • Funeral / Cremation Pre-Planning Documents
  • Notes on anything else you think might be relevant to your financial situation

If you have trouble finding anything on the list, don’t delay your next appointment trying to find it! We will follow-up on additional items later.