Broker Check

First Appointment

Consultation Services Checklist 

It is not mandatory that you bring anything to the first meeting; however, it is helpful for discussion purposes. Please bring current statements for:

  • Net Worth Statement
  • Cash Flow Analysis (Budget)
  • Certificates of deposit; include interest rate and maturity date
  • Government bonds, savings bonds, treasuries and corporate bonds
  • Brokerage Accounts
  • Stock Certificates
  • Dividend Reinvestment
  • Plans
  • Mutual Funds
  • Annuities; including investment options
  • Individual Retirement
  • Accounts (IRA); including copies of each IRA and your
  • company Pension/Profit
  • Sharing or other retirement plans, including investment options
  • Your will and/or trust documents and your powers of attorney for health care and finances
  • List of beneficiary designations on all of your annuities, life insurance, and retirement accounts
  • First mortgages, second or home equity loans; include your interest rate and mortgage term.
  • Include any notes that are payable to you
  • Insurance Policies: homeowners, automobile, disability, long term care, funeral, and life insurance
  • The last two years tax returns
  • Your Social Security benefit statement
  • Pertinent business or partnership information, if applicable