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Checklist of Important Documents for Financial Planning
by Steve Dolan, CFP ®, Investment Consultant for Pinnacle and Raymond James Financial Services Inc.

The following is a list of key information and documents to begin the process of financial planning. These documents are necessary to assess your gaps and tailor a financial plan that helps you achieve your goals. Much of the information is used to assess multiple areas of financial planning.

Retirement planning

• Employee benefits program summary from your employer
• Deferred compensation and stock option agreements
• Pension Plan Statements
• Social Security Statement
• Recent IRA, 401(k) and other retirement account brokerage statements
• Expected inheritances
• Estimated expenses for the care of parents

Tax planning

• Tax returns for last year
• W-2 and a recent pay stub
• Partnership agreements and Schedule K-1's

Education planning

• Brokerage accounts for 529 plans or UTMA accounts
• College choices

Investment planning

• Brokerage account and mutual fund statements
• List of stocks and bonds held outside of brokerages
• Risk tolerance

Cash Flow planning

• Financial Statement
• Loan statements and
• Estimate of ongoing living expenses
• Significant upcoming one-time expenses, weddings, vacations, home renovations, etc.

Insurance planning

• Life insurance policies and statements
• Medical, homeowners, and auto insurance policies and statements
• Disability, umbrella, and long-term care insurance policies
• Annuity policies and statements

Estate planning

• Copies of your will, living will, durable powers of attorney, and health care powers
• Living trusts

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