Broker Check

Document Checklist

In preparation for your first visit with the Knox Grove Financial, LLC team, we ask that you gather the documents and information outlined below. Our clients feel this exercise helps them organize their finances, and allows us to get a holistic picture of your financial situation.

Please note that not all items on the checklist will be applicable to your situation.

Investment and savings statements

  • Bank account statements
  • Account statements for any investments you own (IRA and NON-IRA)
  • Employment benefits statement
  • Retirement / 401 (k) plan statements/Deferred Comp, etc
  • Your most recent Stock Option Plan Documents
  • Your most recent Stock Option Statements of Award and Vesting
  • Your most recent Employee Stock Purchase Plan Statements

Income and cash flow information

  • Most recent federal and state income tax returns
  • A list of future funding requirements: second home, college expenses, etc.
  • Social security income estimates:

Documents related to your debts (amounts you owe)

  • Mortgage information
  • Credit card statements
  • Student / other loan statements
  • Auto loan statements

Estate Planning Information

  • Wills
  • Durable Power of Attorney documentation
  • Health Care Proxy or Living Wills
  • Most recent Trust Documents or Statements

Insurance Policies

  • Life insurance policies
  • Disability insurance policies
  • Long Term Care insurance

Family Information

  • Account statements for children’s investments, if applicable
  • Care information for parents if applicable

Prepare To Discuss

  • Please come prepared to identify your short and long term financial goals and
    income needs.

Have a Question?

Thank you!