Here is a helpful list of common documents and information that are particularly useful to provide with your initial meeting. First, try to gather the details related to the topics most important to you. Once you have organized your relevant financial records, begin thinking and outlining your thoughts about your current questions, concerns, and wishes for the future.

Requested Documents and Information

Preparing for Retirement  

  • Social Security statement(s)
  • Retirement account statement(s)
  • Pension coverage details
Investments & Company Stock  

  • Statement(s) for each investment account (stocks, bonds, mutual funds, ETFs, options, etc.), and
  • Vesting schedule and benefit details where applicable
Insurance & Other Risks  

  • Insurance coverage document(s) (ownership, coverage amounts, beneficiaries, cost, coverage term, etc.)
Income Tax Planning  

  • Copies of recent income tax return(s), and
  • Recent paystubs
Estate & Succession Planning  

  • Copies of any current documents (Will, Powers of Attorney, Trust, etc.)
Current Income / Expenses  

  • Annual or monthly spending estimate, and
  • Statement(s) for each account with spending details (bank accounts, credit cards, etc.)
Debt / Liabilities  

  • Statement(s) for each liability, or
  • List of debts (balances, interest rates, minimum payment amounts)
Large Expenses  

  • Briefly outline what your expected costs are and when you expect to pay

Having these items prepared will allow you and your financial planner to focus immediately on your current goals and concerns. If you have any questions while preparing for your appointment, please don’t hesitate to call or email us.