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Items to Bring to Your Appointment

Items to Bring to Your Appointment


No doctor would prescribe a treatment plan before conducting a physical exam. He or she would look over medical history, blood pressure stats, heart rate, list of medicines, and so on.  Likewise, we cannot suggest an investment or financial plan without understanding your goals and current financial position.  We will perform a “financial check-up” by reviewing the following information, which we request you bring with you to your scheduled appointment.  The items below will help us to get the clearest picture of your overall financial life.


INCOME:  A list of income from all sources, including your spouse.

  • Wages, salary and tips from all places of employment
  • Profit from a business (small or part time / your company)
  • Income from rental properties
  • Royalties from oil/gas (mineral) rights
  • Partnership income


INVESTMENT STATEMENTS:  Actual statements are preferred over computer screen shots.

  • Any statements from investments you own including: 401k, IRA, Roth IRA, individual, joint, custodial accounts for children/grandchildren, 403b, TIAA, TRS, SSP, MICP, Thrift Savings, etc.


BANK ACCOUNTS:  Actual statements are not as necessary as investment statements, but many times can prove helpful.  This information figures into your total net worth and liquid net worth, both of which are very important aspects for investing purposes.

  • Checking / savings / money markets / C.D.s (all accounts at all locations)


DEBT:  A list of all money owed.

  • Mortgages including balances, interest rates, payments (and does it include tax/ins escrow), terms (how long the loan is for), and value of home(s).
  • Car loans including balances, interest rates, payments, terms (how much time left on note to have paid off).
  • Credit card debt (actual statements could prove helpful here).  Balances, interest rates, minimum payments due, etc.
  • Loans (any other collateralized loans or uncollateralized loans, personal, business, or otherwise).


PROPERTY OWNED:  A list of all property owned including the approximate value and what is owed.

  • Residential home, vacation property, rental properties, ranch, land, recreational vehicles (RV’s and ATVs), and timeshares.


TAX RETURN:  Last year’s tax return will help us understand your financial position. As your financial advisor, it is important for us to know how our services will impact your taxes. We love America and believe you should pay every cent of tax you owe – we just don’t want you to overpay!  Because taxes can consume wealth, we don’t care who does your taxes, we just want to help you reduce them.


RETIREMENT:  If you are nearing retirement and interested in retirement planning, the following statements are necessary:

  • SOCIAL SECURITY:  You can create an account and download a statement from www.ssa.gov.
  • PENSION STATEMENTS:   Most companies will have a pension estimator online.  Also the balance, if available, is good info to include.


GOALS:  We definitely want to know what is important to you, including your short- and long-term goals. Jot them down, and be sure to bring them with, too!