New Financial Planner Starter Kit

Professional Investment Portfolio Building Kit

Personal Information Checklist

◦ A Written List of Your Financial Goals (below)

◦ Spouse and/or Significant Others

◦ Family Budget

◦ Wills, Trusts, Power of Attorney, and other Pertinent Legal Documents Affecting Your family

◦ Life, Health, Dental and Disability Policies

◦ Last Two Years of Tax Returns / Gift Tax Returns if Applicable

◦ Real Estate Holdings: Mortgage Information, Deeds, Contacts, Leases

◦ Appraisals of Collections, Jewelry, Antiques

◦ Prior Financial and Estate Plans

◦ Employee Contracts and Benefits: Beneficiary Designations, Health, Dental, Disability, Pension, Retirement, Profit Sharing, Stock Option and Purchase, Deferred Compensation, and Group Life Insurance Plans that you currently enroll in, or wish to look into further

◦ Divorce Settlements, Prenuptial or Premarital Agreements

◦ CD Maturity Dates, Rates, and Penalties

◦ Retirement Plans: IRA, Keogh, 401(k), TSA, etc.

◦ Record of Investments (Stocks, Bonds, Funds, Partnerships, Real Estate Deals, etc.)

◦ Checking, Credit Union and Savings Account Information

◦ Credit Card Information

◦ Life, Disability, Auto, Health, Home, and Personal Liability Insurance Policies

◦ Previous Financial Plans

◦ Anything else you may wish to discuss

Financial Goals Worksheet

EXAMPLES: Credit Card Debt, Pay overdue taxes, Fix the car, Moving fund,

Get a Will made, Medical Bills, Christmas shopping, etc.

Intermediate-term Goals (six months to two years)

EXAMPLES: Computer, Business Investment, Furniture, Household repairs, etc.

Long-term Goals (more than two years)

EXAMPLES: Buy another car, Buy a house, Remodel the house, Start a business

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