Broker Check

Pre-Appointment Checklist

To better serve your needs and provide an accurate financial plan, please provide us with the following information:

(Click below to download the PDF Document)


Gather Documentation

  • Recent Pay Slips for all potential account holders
  • Existing financial account statements (from banks, other investment providers, and employer 401(k)s)
  • Loan and credit card statements
  • Insurance policies/statements
  • Information related to your current investments
  • Any other personal budget information (e.g. assets and liabilities)

Essential Information

  • Age
  • Income (Current, Family, Future (including inheritances))
  • Day-to-day expenses, future expenses
  • Tax paid and tax owed
  • Family circumstances, including the number and health of dependents and state of health

Ask Yourself These Questions

  • What do you want to achieve financially and personally?
  • How soon do you want to achieve your goals?
  • When do you want to retire?
  • Are you, your family, and your lifestyle protected against the unexpected?