Maris I. Galins, CFP®  



1032 NE 63rd Street
Seattle, WA 98115





Document Checklist




Document Checklist       




We will need the following documents for review and analysis: 

 (Printable version? Click link: Document Checklist)



Personal Documents



____ Will – Husband, Wife

____ Trust Documents (as Grantor or Beneficiary)

____ Personal Financial Statement (Net Worth and Cash Flow  Statements)

____ Monthly or Quarterly Investment Reports or Statements

____ Investment Listing

____ Retirement Plan Statement(s)

____ Stock Option Information (Exercise Price , Amount, Type, Grant dates,  Expiration Dates)

____ Life Insurance Policies & current statement of values, if available

____ Disability Insurance Policies & current Statement of values

____ Form 1040 Income Tax Returns (2 years), Form K-1

____ Estimated inheritance

____ Form 709 Gift Tax Return

____ Current Pay Stub

____ Partnership or Investment Agreements e.g. Real-estate Partnership

____ Property Settlement Agreements

____ Pre / Post Nuptial Agreements

____ Most Recent Tax Statements for Real-Estate

____ Real Estate Notes & Mortgages - Latest Statements

____ Other____________________________________




Business Documents



____ Balance Sheets

____ Profit and Loss Statement

____ Group Benefits Booklet

____ Retirement Plan Booklet / Document

____ Employee Census - Date Employed, Date of Birth, Total Annual Compensation

____ Schedule of Additional Employee Benefits

____ Deferred Compensation Agreements

____ Employment Agreements

____ Business Continuation Agreements ( Buy / Sell)

____ Corporate Minutes

____ Form 1120 Corporate Income Tax Returns (3 years)

____ Other Entity Income Tax Returns (3 years)

____ Business Life and Disability Insurance Policies, with Most Current Statement

____ Any Business Valuation Appraisals

____ Articles of Incorporation____________________________________________

____ Other ____________________________________________



Please be assured that we take every precaution to maintain confidentiality of all information obtained from you and your advisors.










Maris I. Galins, CFPTM

Certified Financial Planner




Check the background of this financial professional on FINRA's BrokerCheck
Check the background of this financial professional on FINRA's BrokerCheck