Document Checklist

  • Prior financial plans and investment reviews
  • Dependent's assets and social security numbers
  • Divorce decrees and/or pre-/post-nuptial agreements
  • Employee handbook and benefit statements
  • Paycheck stubs
  • Social security statements
  • 2 years of tax (including gift and estate) returns
  • Will and/or living will (include name, address, and telephone number of attorney)
  • Codicils and powers of attorney
  • Revocable and/or irrevocable living trust
  • Stock option agreement
  • Checking account statements, savings, and money market statements, CDs
  • U.S. Savings bonds
  • Brokerage, mutual fund, and nonqualified annuity account statements
  • Stock certificates (outside of brokerage account)
  • Life, disability, medical, and long-term care insurance policy statements
  • Property & casualty insurance policy statements (homeowner's, renter's, automobile, umbrella)
  • IRA statements (education, rollover, Roth, or Traditional)
  • Employers retirement plan statements (deferred comp, 401(k), profit-sharing, 403(b), SEP-IRA, Simple IRA, Simple 401(k), or defined benefit pension)
  • Mortgage statements and other loan statements (home equity, automobile, credit card)
  • Other assets (such as real estate or business holdings)