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Client Checklist

Checklist for your first meeting with an advisor

  • No matter what your financial dreams and goals, investing is the way to build wealth to achieve them. But investing is a complex matter, and there’s a lot you need to know to do it successfully. We can help.

As you consider investing, ask yourself the following questions:

  • Have you clarified some specific goals for investing, along with your time frame for achieving them?
  • Do you understand the different kinds of investing vehicles: stocks, bonds, and mutual funds, to name just a few?
  • Do you know what kind of investor you are and what your risk tolerance is?
  • Do you understand the concepts of asset allocation and diversification?
  • Are you aware of the tax consequences of different types of investments? To help you develop an effective, customized plan, your financial representative needs a complete picture of your financial situation.

Before you meet, you may want to collect the following information that is applicable to you:

  • Recent statements illustrating your income, such as:
  • Recent paycheck stubs
  • Tax statements for the last two years, showing withholdings Recent statements illustrating your current assets, such as:
  • Bank checking, savings, and/or money market accounts
  • Retirement accounts (401(k), pension plan or personal IRA)
  • Investments such as mutual funds, annuities, stocks, bonds, investment properties
  • Insurance policies (life, disability, home, auto, medical, Medicare supplements, long-term care)
  • Home assessment/appraisal documents
  • Wills or trusts made by you or your spouse Recent statements illustrating your current liabilities, such as:
  • Estimate of monthly business expenses (if you own a business)
  • Mortgage balance
  • Credit card, store card, and auto loan statements with balances, monthly payments, and interest rates If you own a business

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