Broker Check

Planning Questionnaire & Appointment Checklist

For us to better know our clients and be the best fiduciary possible, we have our own Planning Questionnaire and Appointment Checklists:

Please click to download the fillable form: FIT Planning Questionnaire

1. Financial Planning Appointment Checklist

  • Monthly Budget (ie: including expenses of credit cards, loans, mortgage/rent, etc)
  • Latest filed tax returns (personal and business, if you own a business)
  • Latest statements for all accounts (ie: IRAs, 401(k)s, 529s, brokerage, bank, savings, CDs, etc)
  • Information about other investments or assets (ie: stocks, annuities, real estate, private equities, royalties, LLC, LPs, MLPs, UITs, BDCs, REITs, etc)
  • Compensation details (ie: pay stubs, pensions, Social Security, inheritance, etc)
  • Employer booklets describing employer‐provided benefits (ie: stock options, pensions, etc)
  • Insurance policies (homeowner, rental, auto, umbrella, business, life, health, disability, long term care, etc)
  • Estate planning information (ie: trust, will, power of attorney, etc)
  • Other items of financial concerns not directly mentioned

2. Tax Planning Appointment Checklist

Personal information:

  • Last year's income tax 
  • Name, address, Social Security number and Date of Birth for yourself, spouse and dependents
  • Dependent Provider Name, Address, Tax ID and S.S.N.
  • Banking information if Direct Deposit Required

Income Data Required:

  • Wages and/or Unemployment
  • Interest and/or Dividend Income
  • State/Local income tax refunded
  • Social Assistance Income
  • Pension/Annuity/Stock or Bond Sales
  • Contract/Partnership/Trust/Estate Income
  • Gambling/Lottery Winnings and Losses/Prizes/Bonus
  • Alimony Income
  • Rental Income
  • Self Employment/Tips
  • Foreign Income

Expense Data Required:

  • Dependent Care Costs
  • Education/Tuition Costs/Materials Purchased
  • Medical/Dental
  • Mortgage/Home Equity Loan Interest/Mortgage Insurance
  • Employment Related Expenses
  • Gambling/Lottery Expenses
  • Tax Return Preparation Expenses
  • Investment Expenses
  • Real Estate Taxes
  • Estimated Tax Payments to Federal and State Government and Dates Paid
  • Home Property Taxes
  • Charitable Contributions Cash/Non-Cash
  • Purchase qualifying for Residential Energy Credit
  • IRA Contributions/Retirement Contributions
  • Home Purchase/Moving Expenses

"Good fortune is what happens when opportunity meets with planning." - Thomas A. Edison

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Learn How to Avoid These 6 Common Tax Errors

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