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Individual Investors Documents Checklist
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Important Financial Documents Checklist


When you meet with a financial planner, they will probably ask you to bring the following types of documents. These documents, along with the Personal Data Organizer will be used to tailor a financial plan to meet your life goals.



Printable Version


Retirement Planning Documents
Recent IRA, 401(k), 403(b), TSA, Keogh statements
Employee benefits program
Deferred compensation and stock option agreements
Pension and profit sharing statements
   
Tax Planning Documents  
Tax returns for the last year
W-2 and recent pay stub
Estimated taxes
   
Financial Documents  
Savings account statements
Mutual fund statements
Brokerage account statements
Investment documents
Loan documents
List of stocks held outside of brokerages
Partnership agreements
   
Asset Protection Documents  
Life insurance policies and statements
Medical, homeowners and auto insurance policies and statements
Disability, umbrella, and long term care insurance policies
Annuity policies and statements
   
Estate Planning Documents  
Summary of your will, living will, durable powers of attorney and health powers
Living trusts

 

 


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