One of the most important steps toward achieving your financial goals is to determine your investment profile through a comprehensive analysis of your current financial situation. Our Financial Consultants will help examine your personal objectives and assess your tolerance for investment risk. Once your goals are defined, we will guide you through the many options available to you.

Use this checklist to ensure you have all the documentation you should bring to your first financial planning meeting with your financial advisor. In each category, you should bring your most recent statement(s):

  • Paycheck stub(s) (yours and that of your spouse or partner)
  • Federal, state, and local income tax returns for the most recent 2 years
  • Bank statements
  • Brokerage statements
  • Mutual fund statements
  • Education funding statements (529 plans, UGMAs, Coverdell Education Savings Accounts, trusts, etc.)
  • Retirement plan statements (IRA, 401(k), 403(b)/TSA, etc.)
  • Deferred compensation statements (if applicable)
  • Social Security benefit statements (if available)
  • Estimate of household expenses
  • Mortgage and/or loan statements
  • Company benefit information (for you and your spouse or partner)
  • Group life and disability summary
  • Retirement benefits summary (retirement plans, savings plans, pension calculations)
  • Deferred compensation agreement documents
  • Stock option documents
  • Insurance policies (disability, life, and long-term care—including statements and/or policies)
  • Will and trust documents
  • Business valuation and/or personal property appraisal reports (if relevant)
  • Budget (if you have one)

For a comprehensive review of your personal situation, always consult with a tax or legal advisor. Neither Cetera nor any of its representatives may give tax advice.

Securities and insurance products are offered through Cetera Investment Services LLC (doing insurance business in CA as CFGIS Insurance Agency), member FINRA / SIPC. Advisory services are offered through Cetera Investment Advisers LLC. Neither firm is affiliated with the financial institution where investment services are offered. Investments are: Not FDIC insured . May lose value . Not financial institution guaranteed . Not a deposit . Not insured by any federal government agency. Located at: 744 Main Street, Stroudsburg, PA 18360

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Financial Professionals are registered to conduct securities business and licensed to conduct insurance business in limited states. Response to, or contact with, residents of other states will only be made upon compliance with applicable licensing and registration requirements. The information in this website is for U.S. residents only and does not constitute an offer to sell or a solicitation of an offer to purchase brokerage services to persons outside of the United States.

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