Broker Check

Document Checklist

Our first priority is helping you take care of yourself and your family. We want to learn more about your personal situation, identify your dreams and goals, and understand your tolerance for risk. Long-term relationships that encourage open and honest communication have been the cornerstone of my foundation of success. The following exercise helps us to evaluate your financial picture, highlighting how monies are being distributed and where inefficiencies may exist. Tending to this checklist with detail and accuracy will allow us to most effectively tailor our planning process to your financial needs and goals.


  • The last two years of your Personal Tax Returns
  • Paycheck Stubs for you and your spouse
  • Will and Trust Documents
  • All Insurance Policies (Declaration pages that show policy details)
  • Auto Policies
  • Homeowner’s Policies
  • Life Insurance Policies
  • Individual Disability Policies
  • Personal Umbrella Liability Policies
  • Company-Provided Benefits Booklet for you and your spouse
  • Retirement Plan Statements (IRA, Roth, IRA, 401(k), 457, 403(b), TSAs, etc.)
  • Investments / Savings / CD Statements
  • Loan Information (Specific information on rates, terms and balances)
  • Mortgage Papers
  • Auto Loan Papers
  • Latest Credit Card Statements
  • School Loan Papers
  • All Debt Information


  • The last two years of your Business Tax Returns
  • Buy-Sell Agreements between partners
  • All Business Insurance Policies
  • Auto Policies
  • Contents and Business Liability Policy
  • Building Policies
  • Workers Comp Policy
  • Business Life Insurance policy
  • Business Agreements (Key Man, Deferred, Compensation, etc.)
  • Corporate Debt
  • Building Loans
  • Equipment Loans
  • Corporate Credit Cards