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