Broker Check

Checklist of Items for Comprehensive Planning Solutions

1. Completed Confidential Client Questionnaire

2. Copies of all account statements including:

  • All Retirement Plans (IRAs, 401(k)s, Roth IRAs, 403(b)s, etc.)
  • Bank and Money Market accounts
  • Certificates of Deposit
  • A personal financial statement
  • Investment Accounts (individual, joint, held in name of trust, etc.)
  • State Retirement (such as PERA) and Education Retirement (ERB)
  • Annuities
  • Savings bonds and any other investments
  • Information on investment real estate
  • Any notes receivable and real estate contracts
  • Social security statements
  • 529 College Savings Plans
  • Beneficiary designations for all retirement accounts

3. Copies of all estate documents including:

  • Wills and Revocable Living Trusts
  • Charitable Trusts
  • Powers of Attorney and Living Wills
  • A/B Trusts, QTIP Trusts, GRATs, etc.

4. Copies of all insurance policies including face value, cash value, premiums, duration for term policies for:

  • Individually-owned life policies on you and your spouse
  • In force statements or annual statement of policy value for life insurance
  • Information on group life policies through your employer
  • Disability and Long Term Care policies
  • Information on umbrella liability policies

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