Broker Check

What to bring to my meeting

Let's learn about you

It is key to have the right information and people with you during your meeting with your financial advisor. To start, I recommend bringing your spouse. Open and honest communication about your goals together is extremely important. 

I would suggest bringing your tablet or iPad as well as your usernames and passwords to your financial websites (bank, mortgage, investment accounts, credit cards, etc.). This is helpful when gathering up to date balances during the meeting. 

Most people overlook bringing their pay stubs and employer benefits statement. A simple pay stub can help tremendously in the data collection process. 

I suggest you visit our Client On-boarding page to read about the five step experience as you become a client of ours.

Finally, bring lots of questions. I look forward to meeting with you!

Onboarding Steps

Documents Checklist

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. 

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Personal Documents

Income Tax returns for previous two years, including W-2's and 1099's

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

Employer Documents

Two most recent paystubs

Employee benefits booklets

Retirement savings plans available through employer

Pension plans

Bank or Credit Union Statements

Checking account statements

Savings / CDs / Money Market account statements

Loan documents including mortgage

Credit Card statements

Broker or Mutual Fund Company Statements

Latest monthly or quarterly statements for all active accounts

Insurance Policy Documents

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 Files

Buy-Sell Agreements

Income tax returns

Deferred Compensation Agreements

Stock / Options / Bonus Plans

What Is My Risk Tolerance?

This questionnaire will help determine your tolerance for investment risk.
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What Is My Current Cash Flow?

Assess whether you are running “in the black” or “in the red” each month.
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What Is the Dividend Yield?

This calculator helps determine your pre-tax and after-tax dividend yield on a particular stock.
Learn More

03/19