• Personal Info  
    • Financial Info  
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    • Property

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    •   Property Name Purchase Date Estimated Value Amount Owed Interest Rate Term
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    • Retirement Investments

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    •   Institution Estimated Value Owner Beneficiary
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    • Other Investments

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    •   Institution Type/Class Estimated Value Owner
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    • Insurance  
    •   Institution Insured Death Benefit Cash Value Beneficiary
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    •   Institution Insured Premium Monthly Benefit Benefit Period
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    •   Institution Insured Premium Monthly Benefit Benefit Period
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    • Objectives  
    •   Yes No N/A Want Reviewed
      I believe I should have an emergency fund of
      at least 50% of my income in safe, secure vehicles
      I am satisfied with my present rate of savings
      I generally reinvest my interest that I earn
      in my savings account or money markets
      I understand that compound interest may lead
      to compound taxation
      I understand how the FDIC protects my money
      I understand and utilize tax-deferred savings vehicles
      I understand and utilize tax-free savings vehicles
      such as 529 plans and Roth IRAs
      I maximize my 401(k) and/or retirement plan
      contributions
      I realize that most tax-deductible retirement plans
      are fully taxable upon distribution
      I would like help in reviewing my savings strategies
    •   Yes No N/A Want Reviewed
      I believe that prepaying or paying off
      my mortgage is prudent
      I believe there are potential benefits to
      restructuring my outstanding debt
      I am able to completely pay off my credit
      card each month
      I understand how intra-family loans
      may be a valuable option to consider
      I have a home equity line of credit
      I would like help in reviewing my current debt
    •   Yes No N/A Want Reviewed
      My vehicle insurance has been properly protected.
      I have a complete, up to date inventory of my
      personal property
      My residence and other posessions are insured for
      their replacement cost
      I carry excess liability coverage
      I understand how excess liability coverage integrates
      with the rest of my insurance protection
      If I were sick or hurt, my income would be fully replaced,
      net of taxes
      My income protection continues if I leave my employer
      I have adequate insurance coverage for long-term illnesses
      I understand how asset-based long-teerm care works
      I understand my government benefits for disability and death
      I understand my government benefits for my retirement
      My wills and trusts have been updated within the last
      two years
      All my assets are titled to reduce taxes and probate
      I understand how life insurance integrates with my
      long-term financial objectives
      My life insurance program provides for maximum economic
      life value protection
    •   Yes No N/A Want Reviewed
      I would like to utilize strategies to minimize my
      taxable income during retirement
      I understand the difference between stocks,
      bonds, and cash
      I understand the differences between government,
      corporate, and municipal bonds
      I realize that municipal bonds provide income
      that can be both federal and state income tax free*
      I understand the difference between ordinary
      income and long-term capital gains
      I understand all the costs and taxes associated
      with the use of mutual funds

    • ...

      *Income from Municipal Bonds may not be tax free in all situations and circumstances. Depending on the individual's circumstances, municipal bond income may be subject to tax under the current Internal Revenue Code if the Alternative Minimum Tax requirements have not been met.

    • In the next year I am considering or expect to...

      Check all that apply
    • Business Owners Q's  
    •   Low Medium High N/A
      Maintaining control of your business throughout your lifetime
      Eliminating the need to liquidate your business to pay estate taxes
      Passing your business to a key employee
      Create a business plan to sell your business to key employees efficiently
      Provide incentives to key employees with non-stock compensation alternatives
      Having your key employees own stock in your company
      Protecting your business from the death of a key employee
      Protecting your key employees and their families from serious illness and disability
      Protecting your company from serious illness and disability of your employees
      Passing your business to maintain family ownership & control
      Maintaining family harmony after your estate has been settled
      Having your spouse take an active/ownership role in the business plan after you pass
      Create a business plan to gift/sell/bequest your business to your children/heirs
      Equalizing the inheritance for your children not active in the business
      Leaving the business only to active children/heirs versus all children/heirs
      Having your children/heirs active in the business with regards to the future success of your business
      Passing your business to a third party
      Reviewing your business property & casualty coverage every 2 years
      Reviewing alternative sources for your existing line of credit
      Reviewing the efficiency of your existing long term debt structure
      Buying out a partner's interest in the event of his/her death
      Protecting assets of business from creditors/litigation
    • Risk Tolerance Questionnaire (required)  
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