Broker Check

Important Documents

Recommended Documents For Financial Meeting

  • Bank Statements
  • Mortgage Information
  • List of Assets
  • List of Liabilities
  • Wills, Trusts, Healthcare Powers of Attorney
  • Copies of all Investment/Retirement Account Statements
  • Social Security Statements
  • Life, Disability or Long-Term Care Insurance Policies
  • Tax Return(s)
  • List of Employee Benefits
  • Health Insurance Information
  • List of monthly

Recommended Documents For Tax Meeting

Bring a copy of the prior years’ tax return with all supporting documents


  • Form W-2 - Wages, salaries and commissions
  • Form 1099-INT – Interest Received
  • Form 1099-DIV – Dividends received
  • Form 1099-G - State and local income tax refunds
  • A complete listing of Alimony received
  • Form 1099-MISC – Miscellaneous Income (Non-Employee Compensation)
  • Schedule of business income and expenses for preparation of Schedule C
  • Form 1099-B - Capital gains/losses and information to determine cost basis
  • Form 1099-S – Settlement statement – Gain/(Loss) from sale of real estate
  • Form 1099-R – Distribution from retirement plans, pension, profit sharing, annuity income and IRA Distributions (Also bring Form 5498)
  • Schedule of rental income and expenses for preparation of Schedule E
  • Form 1099-MISC – Miscellaneous Income (Rents Received, Royalty Income & other income)
  • Schedule K-1 – Partnerships, Estates Trusts or S-Corps
  • Schedule of farm income and expenses for preparation of Schedule F
  • Form 1099-G Statement of Unemployment Insurance Benefits Paid
  • Form SSA-1099 - Social Security Benefit Statement
  • W-2G – Gambling Winnings
  • Form RRB-1099 – Railroad Retirement Benefits
  • If you sold your personal residence, or any real estate property, please bring the following:
    the settlement statement from the sale of the property
    • the settlement statement from the sale of the property
    • the settlement statement from the purchase of the property
    • a summary listing of property improvements during ownership (We do not need to receipts. Please keep the receipts for your records)

Adjustments to Gross Income:

  • Educator expenses
  • Health savings account contribution
  • Moving expenses
  • SEP, Simple and qualified pan contributions
  • Health insurance paid by a self-employed individual
  • Penalties paid on early withdrawal of savings (CD’s)
  • Alimony paid
  • Student loan interest paid
  • Tuition and fees paid

Deductions & Credits:

  • Medical and dental expenses paid
  • State and local income taxes paid
  • Sales taxes paid
  • Real estate taxes paid. Please list by property and provide a copy of the tax bill.
  • Form 1098 – Mortgage Interest Statement for each loan and a description of what the loan was for
  • Form 1098 or Settlement Statement for Points paid
  • Mortgage insurance premiums paid
  • Investment interest
  • A summary of cash contributions
  • A summary of non-cash contributions. If the non-cash contributions exceed $500, we need the following information for each organization a donation was made to:
    • Name and address for each organization
    • The date of each donation
    • The amount being claimed as a deduction
  • A description of what was donated
  • Casualty or theft losses
  • A summary and documentation of gambling losses
  • ACA Premium Tax Credit – Form 1095-A
  • Child and dependent care expenses. Please include the name, address and tax identification number of the provider
  • Adoption expenses
  • Form 1098-T – Education Credits
  • Foreign taxes paid - They should be listed on Form 1099-INT and/or Form 1099-DIV

Estimated Payments Made:

  • Please bring a list of payments made to each federal, state and local agency detailing:
  • The amount paid
  • The date paid
  • The check number for each payment