Sather Financial
 
 

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Sather Financial Group

120 E Constitution St
Victoria, TX 77901

(361) 570-1800



 

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Checklist of Documents Needed for

Financial Planning

The following documents are necessary for us to get a complete picture of our financial situation and to better serve you in the financial planning process.  Not all items on the checklist will be applicable to your particular situation.  There may be other items that are not listed but that we need to be aware of.  All information will be kept confidential.  Please contact our office if you have any questions.

I.           Cash and Equivalents

Please provide the latest statement on each of the following:

             Checking Account
             Saving Account
             Credit Union
             Money Market Account
             Certificates of Deposit

II.          Notes Receivable

Please provide a copy of the note, record of payments received, and the current balance, if available, for any loans you have made to others:

             Notes Receivable

II.          Securities

Please provide the latest statement for all investment accounts; include copies of securities if held personally, and a purchase/confirmation showing how the securities were acquired and the cost (or other basis if gift or inheritance) for each of the following:

             Bonds
             Stocks
             Mutual Funds
             Unit Investment Trusts
             Variable Annuities
             Variable Life Insurance

II.          Limited Partnerships

Please provide a prospectus, documentation of purchase price, number of units, and current value if known:

              Real Estate
              Oil and Gas
              Equipment Leasing
              Venture Capital
              Other

V.           Insurance Contracts

Please provide policies and any current policy statements/reports for each of the following, if applicable:

              Single Premium Annuities
              Flexible Premium Annuities
              Single Premium Life Insurance
              Universal Life Insurance
              Whole Life Insurance
              Term Life Insurance
              Medical Insurance
              Disability Insurance
              Homeowner's or Renter's Insurance
              Automobile Insurance
              Umbrella Liability
              Professional Liability

VI.          Personal Assets

Please provide documentation showing the original purchase price, closing papers (if applicable), and current market value for each of the following:

              Single Premium Annuities    
              Primary Residence
              Second Residence
              Rental Real Estate
              Automobile (copy of auto title)
              Personal Property such as Home Furnishings, Jewelry, Art, etc.

VII.         Liabilities

Please provide the original document setting forth the liability, as well as statements showing the most recent balance, for each of the following:

              Mortgages
              Personal Notes
              Credit Cards and Lines of Credit

VII.         Retirment Plans

Please provide the most recent statement and beneficiary information from the following retirement plans, if applicable:

             IRA
             IRA/Rollovers
             Keogh
             SEP
             Thrift Plan
             Profit Sharing Plan
             ESOP or PAYSOP
             Stock Purchase Plan
             Pension Plan

IX.          Retirment Plans

Please provide the most recent statement and beneficiary information from the following retirement plans, if applicable:

              Personal Tax Returns for the Past Three Years
              Business Tax Returns for the Past Three Years
              Retirement Plan Tax Returns for the Past Three Years
              Payroll Stubs Showing Current Earnings
              Current Will(s)
              Current Trust Agreements(s)
              Divorce Decree(s)
              Prenuptial Agreement(s)
              Business Interests
              Buy/Sell Agreements
              Deferred Compensation
              Stock Options/Bonus Plan

X.           Questionnaires and Other Items

              Completed Monthly Expense Records

              Completed Questionnaire

 

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_________________________________________________

 

XI.          Miscellaneous Items, Notes, and/or Questions

 

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ADVISERS

Names, addresses and telephone numbers (work & home):

1. Attorney: ___________________________________________________

_____________________________________________________________

2. Accountant: ________________________________________________

_____________________________________________________________

3. Life Insurance Adviser: _____________________________________________________________

_____________________________________________________________

4. Banker and Trust Officers: _____________________________________________________________

_____________________________________________________________

5. Stockbrokers: _____________________________________________________________

_____________________________________________________________

6. Executor: __________________________________________________

_____________________________________________________________

7. Trustee: ___________________________________________________

_____________________________________________________________

8. Designated Guardian for Children: _____________________________________________________________

_____________________________________________________________

9. Investment Adviser: _____________________________________________________________

_____________________________________________________________

10. Financial Planner: _____________________________________________________________

_____________________________________________________________

11. Physician: ________________________________________________

_____________________________________________________________

12. Clergyman: _____________________________________________________________

_____________________________________________________________

13. Casualty Insurance Agent: _____________________________________________________________

_____________________________________________________________

 

Location of Assets and Documents

1.  Safe deposit box (location of box, who has access, who has keys, in whose name is box registered):

_____________________________________________________________

_____________________________________________________________

2.  Original current wills:

_____________________________________________________________

_____________________________________________________________

3.  Life, health and accident insurance policies:

_____________________________________________________________

_____________________________________________________________

4.  Passbooks (location):

_____________________________________________________________

_____________________________________________________________

5.  Securities:

_____________________________________________________________

_____________________________________________________________

6.  Trust agreements:

_____________________________________________________________

_____________________________________________________________

7.  Tax returns; years covered:

_____________________________________________________________

_____________________________________________________________

8.  Contracts and business agreements:

_____________________________________________________________

_____________________________________________________________

9.  Real estate and comdominiums:

_____________________________________________________________

_____________________________________________________________

         a.  Location and how owned: _____________________________________________________________

         b.  Deed and title policy: _____________________________________________________________

         c.  Mortgages: _____________________________________________________________

         d.  Leases: _____________________________________________________________

10.  Car Titles:

_____________________________________________________________

_____________________________________________________________

11.  Custody and other Managed accounts:

_____________________________________________________________

_____________________________________________________________

12.  Jewelry and other valuable tangibles:

_____________________________________________________________

_____________________________________________________________

13.  Cancelled checks and stubs; period covered:

_____________________________________________________________

14.  Cemetery plot(location of plot and deed; care arrangements):

_____________________________________________________________

_____________________________________________________________

15.  Birth Certificates: ___________________________________________

16.  Death Certificates: __________________________________________

17.  Marriage Certificates: ________________________________________

18.  Divorce papers: _____________________________________________

19.  Employee benefit statements: _________________________________

20.  Employee benefit plan copies: _________________________________

21.  Military discharge papers: ____________________________________

22.  Naturalization papers: ________________________________________

23.  Passports: ________________________________________________

24.  Adoption papers: ___________________________________________

25.  General insurance policies: ___________________________________

26.  Private safe: _______________________________________________

27.  Firearms and registration requirements: _____________________________________________________________

28.  Funeral directions: __________________________________________

29.  Living wills: ________________________________________________

30.  Entitlements (Social Security, veterans, etc.): _____________________________________________________________

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POWER OF ATTORNEY outstanding, including bank accounts and safe deposit access and health care decisions.  Give dates and names (obtain copies; show: attorney in fact; address; description of power; date):

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