Broker Check

Client Checklist

Personal Information

  • Name
  • Address
  • Occupation
  • Social Security #
  • Phone number
  • Marital Status
  • Spouse Info
  • Tax Rate
  • Dependants
  • Grandchildren
  • Drivers License

Assets

  • Cash- Savings/ Checking
  • CDs
  • Securities- Stocks / Bonds/ Mutual Funds
  • Notes & Contracts Receivable
  • Annuities
  • Private Placements
  • Private Managed Accounts
  • College Funds 529 / Ed. IRA
  • Life Insurance/ Cash Surrender Value
  • Long Term Care Insurance
  • Home / Auto Insurance
  • Personal Property Value- Auto, Jewelry,etc.
  • Retirement Funds/ IRAs, 401ks , Pensions
  • Real Estate / Market Value
  • Other assets

Financial Goals

  • College
  • Retirement
  • Wealth accumulation
  • Wealth transfer
  • Debt Management

Liabilities

  • Current Debt- Credit cards
  • Notes Payable
  • Taxes Payable
  • Auto Loans
  • Real Estate Mortgages
  • Other

Professionals

  • Attorney
  • CPA / Accountant