Document Checklist

To provide an analysis of your current situation and strategies for your financial future, it will be helpful if you would furnish certain documents and other items to your financial professional at the time of the discovery interview.

Please gather and have available the following:

Previous Years Form 1040 (2 yrs. complete tax return)
Most Recent Form 1120, 1120S, 1065, etc. (complete business tax return)
Business Financials

➢ Year End Income Statements (preferably 2 yrs)
➢ Most Current Balance Sheet & Income Statement

Copy of all Legal Documents

➢ State Driver’s License
➢ Wills and Codicils
➢ Durable Powers of Attorney
➢ Health Care Power of Attorney
➢ Other agreements (i.e. Divorce Agreement(s), Partnerships, etc.)
➢ Retirement Plan Documents & Summary Plan Description (business owners only)
➢ Living Wills
➢ All Trust Documents
➢ Buy/Sell Agreements

Copy of all Real Estate Deeds (Warranty Deed)
(properties owned by you, spouse, or jointly w/spouse or others)
Latest Statements (complete)

➢ Checking/Savings account
➢ CDs
➢ Brokerage Accounts
➢ Annuities
➢ Employee benefit statements
➢ Bonds
➢ IRA’s
➢ Pensions
➢ Mutual Funds
➢ Stock Certificates
➢ Employee Census (business owners
only)