Planning Process Checklist

To help identify your goals we start the process with a review of your current financial situation. Use this checklist as a guide to gather the information as it applies to you.
Together, we will review your investments and current tax situation and develop a plan to integrate new investments with existing retirement plans and investments.
  1. Birth dates for you, your spouse, and your dependents
  2. Social security numbers for you, your spouse, and your dependents
  3. Most recent statement from all your brokerage accounts
  4. Most recent statement from mutual funds
  5. Most recent statements from all checking and savings accounts, CDs and IRAs, including current interest rates and maturity dates
  6. Latest unit investment trust statements
  7. List of all common stocks, including number of shares held by you in certificate form or held by transfer agents
  8. List, or appropriate statements, of all corporate, U.S. Treasury, or municipal bonds held by you
  9. Statement for employer retirement plans, including 401(k), profit sharing, 403(b), TIAA/CREF, 457, and pension plan benefits
  10. Social Security benefits statements
  11. Life insurance and disability insurance policies
  12. Annuity contracts and statements
  13. Listing of company stock options with exercise prices
  14. List and approximate values of interest in any closely held businesses
  15. Current wills, power of attorneys, and trust documents
  16. Most recent tax return
  17. Current amount owed on all personal debt, including credit cards and auto loans
  18. Names, addresses, and telephone numbers of all financial, legal, and tax advisors

Broker Check by FINRA

Important Information

Investment and insurance products and services are offered through OSAIC INSTITUTIONS. Member FINRA Opens a New Window. / CREF Opens a New Window. . STC Investment Services is a division of the bank. Osaic Institutions and the bank are not affiliated. Products and services made available through Osaic Institutions are not insured by the SIPC or any other agency of the United States and are not deposits or obligations of nor guaranteed or insured by any bank or bank affiliate. These products are subject to investment risk, including the possible loss of value.