FACT FINDER
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
PERSONAL INFORMATION
SPOUSE INFORMATION
Name
Name
Home Address
Home Address
Date of Birth
Date of Birth
Place of Birth
Place of Birth
Social Security Number
Social Security Number
Home Phone
Home Phone
Occupation
Occupation
Employer
Employer
Work Address
Work Address
Work Phone
Work Phone
Email Address
Email Address
Cell Phone
Cell Phone
Mother's Maiden Name
Mother's Maiden Name
SOURCES OF INCOME Base Salary
Base Salary
Expected Bonus
Expected Bonus
Social Security (Annual)
Social Security (Annual)
Pension
Pension
Other Income
Other Income
CHILDREN Name & Social Security Number
Date of Birth
Annual Cost of College
1st Year of College (Year)
Securities offered through LPL Financial, Member FINRA/ SIPC
Earmarked Funds
What % will you pay?
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
PLANNING OBJECTIVES RANKING Client Categories
Client Ranking
Spouse Categories
Reduce Income Tax
Reduce Income Tax
Build Wealth
Build Wealth
Retirement Comfort
Retirement Comfort
College Funding Strategy
College Funding Strategy
Reduce Estate Taxes
Reduce Estate Taxes
Adequate Life, Long Term Care & Disablity Ins.
Adequate Life, Long Term Care & Disablity Ins.
Purchase a Home
Purchase a Home
Purchase a Vacation Home
Purchase a Vacation Home
Leave a Legacy to My Children
Leave a Legacy to My Children
Other (Specify)
Other (Specify)
INVESTMENT EXPERIENCE What do you consider a reasonable rate of return on a long-term investment portfolio?
%
If your investment account dropped in value, at what percent would you be concerned?
%
What investments would you consider? (Circle all that apply) CD's
Stocks
Mutual Funds
Bonds
Annuities
Partnerships
Other, please explain
What is the best investment you ever made? If you are considering changing your current investment advisor, please explain why:
ESTATE PLANNING Do you have a Will?
Spouse?
Dated
Last Review
Who is the guardian for your children? Who is the Executor under your Will? Client
Spouse
Does Your Will contain a Trust?
If so, who is the trustee?
Have you exchanged Powers of Attorney with anyone?
If so, why?
Do you have current health care proxies? Do you have any Trusts?
Why did you establish it?
Are any inheritances expected?
When?
How Much?
Securities offered through LPL Financial, Member FINRA/ SIPC
Spouse's Ranking
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
ASSETS Current Value
Interest Rate- %
Bank/Money Market Fund Names
Ownership
Certificate of Deposit- Bank Names
Ownership
Current Value
Maturity Date
Interest Rate- %
Brokerage Account Names
Ownership
Current Value
% Stocks
% Bond/Cash
Ownership
Number of Shares
Cost Basis
Current Value
Dividends Reinvest? Y/N
Ownership
Number of Shares
Cost Basis
Current Value
Dividends Reinvest? Y/N
Date Vested
Option Price
Number of Shares
Current Value
ISO of NonQualified
Owner
Total Cost
Purchase Date
Annual Income
Write-Offs or Tax Credits?
Mutal Funds
Stock/Bonds Held by You (Description)
Stocks Options (Indicated Owner)
Limited Partnership (Description)
Securities offered through LPL Financial, Member FINRA/ SIPC
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
RETIREMENT ISSUES At what age do you plan to retire?
What age will your spouse retire?
How much annual income, in today's dollars, will you want in retirement? Do you plan on working after retirement?
Yes
No
Have you verified the status of your Social Security benefits? If yes, what is the full monthely benefit you can expect?
Earnings per year: $ Yes
No Spouse?
Do you expect to have any debts in retirement? Yes No Explain: Do you have any aspirations to make seasonal location changes? (ie. Winters in Florida?) Yes No Explain:
RETIREMENT PLANS - CLIENT Type: IRA, ROTH IRA, 401k, 403(b), Pension Plan, Profit Sharing, SEP, SIMPLE IRA,ect.
Where Invested Current Value
Your Annual Contribution
Employer Contribution
% Vested in Plan
Where Invested Current Value
Your Annual Contribution
Employer Contribution
% Vested in Plan
RETIRMENT PLANS - SPOUSE Type: IRA, ROTH IRA, 401k, 403(b), Pension Plan, Profit Sharing, SEP, SIMPLE IRA,ect.
Any Specific Information you would like to add?
Securities offered through LPL Financial, Member FINRA/ SIPC
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
REAL ESTATE PROPERTY Property Category
Home
Other #1
Other #2
Address Describe Vacation, Home Investment Property, Ect. Owner Month/ Year Purchased Cost of Improvements Current Market Value Mortage Amount Mortage Date Interest Rate/ Years Remain Monthly Payment (principal and interest) Annual Property Tax Homeowners Insurance Co-op or Condo Fee
RENTAL PROPERTY If you receive rent from your properties, indicate here Monthly Rental Income $
$
When do you intend to raise the the rent? How much will you raise it? $
$
When did you last raise the rent? Management Fees you pay $
$
Repairs and Maintenacne Costs $
$
Utilities paid by you $
$
POTENTIAL REAL ESTATE PURCHASES Do you have plans to change your residence in the near future? Yes Do you have long term plans of owning a vacation home?
Yes
No No
Explain: Explain:
Securities offered through LPL Financial, Member FINRA/ SIPC
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
PERSONAL PROPERTY (OTHER THAN REAL ESTATE) Car #1
Car #2
Furniture & Jewelry
Collectibles
Other: Describe
Owner Estimated Value
LIABILITIES (NOT REAL ESTATE) List All Loans and Debts (Auto, School, Credit Cards, ect.)
Amount Due
Monthly Payment
Credit Limit
Outstanding Balance
Est. Payoff Date
Interest Rate
EQUITY LINE OF CREDIT Bank Name
Original Date
Interest Rate
Form of Payment
FINANCIAL ADVISORS Name, Address & Phone Number Accountant Attorney Banker Casualty Ins. Agent Financial Planner Stockbrocker Trust Officer
BUSINESS INFORMATION Name of Business Estimated Book Value Percent Ownership Is there a Buy/ Sell Agreement? Notes Payable to Bus.? What are the terms? Original Amount
Length of Note
Interest Rate
Original Date
Securities offered through LPL Financial, Member FINRA/ SIPC
Payments: Monthly, Annual?
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
INSURANCE Policy #1
Life Insurance
Policy #2
Policy #3
Policy #4
Company Name & Policy Number Face Value Policy Date Cash Value Annual Premium Policy Type (Whole life, term, universal life group, ect) Insured Owner Beneficiary Amount of Loan Due Inserest Rate Please bring policies and or company benefit statements as well as your most recent premium notice. (Attach another sheet if insufficient space)
Disability Insurance
Client
Spouse
Client
Spouse
Client
Spouse
Client
Spouse
Name of Carrier Monthy Benefit Annual Premium Through Company or Personally owned Waiting Period and Length of Benefits Medical Insurance Name of Insurance Carrier Annual Deductible Annual Premium Auto Insurance Name of Insurance Carrier Annual Deductible for Collision/ Comprehensive Annual Premium Homeowners Insurance Name of Insurance Carrier Amount of Deductible Annual Premium Amount of Umbrella Coverage/ Premium Replacement Value (Yes of No)
Securities offered through LPL Financial, Member FINRA/ SIPC
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
COMMITTED EXPENSES (EXPENSES YOU CANNOT READILY REDUCE) Average Monthly Expense
Please choose either month expenses or annual costs
Estimated Annual Cost
Anticipated Change (Y/N)
Rent (not mortgage) Renter's Insurance Gas, Oil Auto Repair Utilities, Water, Sewer Telephone Online Expenses Medical, Dental Other Insurance Premiums Groceries Clothing, Dry Cleaning Personal Care Alimony/ Child Support Support for Relatives Education/ Day Care Job Related Expenses
DISCRERTIONARY EXPENSES (EXPENSES THAT ARE POSSIBLE TO REDUCE, IF NEEDED) Average Monthly Expense
Please choose either month expenses or annual costs
Estimated Annual Cost
Annual Vacation(s) Entertainment (Theater, Sports, Outdoor Activities) Dining Out Cable Television Gifts Babysitter Kids Activities Hobbies Subscriptions Pocket Money Charitable Contributions Lawn Care/ Snow Plow Home Improvement Other Planning any major expenses or unusual fluctuations in your expenses?
Is there anything else we should know about your expenses?
Securities offered through LPL Financial, Member FINRA/ SIPC
Anticipated Change (Y/N)
FACT FINDER 115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
CONFIDENTIAL INFORMATION
YOUR THOUGHTS This page is reserved so that you can prepare any questions you may have for us.
Securities offered through LPL Financial, Member FINRA/ SIPC
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
PERSONAL INFORMATION
SPOUSE INFORMATION
Name
Name
Home Address
Home Address
Date of Birth
Date of Birth
Place of Birth
Place of Birth
Social Security Number
Social Security Number
Home Phone
Home Phone
Occupation
Occupation
Employer
Employer
Work Address
Work Address
Work Phone
Work Phone
Email Address
Email Address
Cell Phone
Cell Phone
Mother's Maiden Name
Mother's Maiden Name
SOURCES OF INCOME Base Salary
Base Salary
Expected Bonus
Expected Bonus
Social Security (Annual)
Social Security (Annual)
Pension
Pension
Other Income
Other Income
CHILDREN Name & Social Security Number
Date of Birth
Annual Cost of College
1st Year of College (Year)
Securities offered through LPL Financial, Member FINRA/ SIPC
Earmarked Funds
What % will you pay?
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
PLANNING OBJECTIVES RANKING Client Categories
Client Ranking
Spouse Categories
Reduce Income Tax
Reduce Income Tax
Build Wealth
Build Wealth
Retirement Comfort
Retirement Comfort
College Funding Strategy
College Funding Strategy
Reduce Estate Taxes
Reduce Estate Taxes
Adequate Life, Long Term Care & Disablity Ins.
Adequate Life, Long Term Care & Disablity Ins.
Purchase a Home
Purchase a Home
Purchase a Vacation Home
Purchase a Vacation Home
Leave a Legacy to My Children
Leave a Legacy to My Children
Other (Specify)
Other (Specify)
INVESTMENT EXPERIENCE What do you consider a reasonable rate of return on a long-term investment portfolio?
%
If your investment account dropped in value, at what percent would you be concerned?
%
What investments would you consider? (Circle all that apply) CD's
Stocks
Mutual Funds
Bonds
Annuities
Partnerships
Other, please explain
What is the best investment you ever made? If you are considering changing your current investment advisor, please explain why:
ESTATE PLANNING Do you have a Will?
Spouse?
Dated
Last Review
Who is the guardian for your children? Who is the Executor under your Will? Client
Spouse
Does Your Will contain a Trust?
If so, who is the trustee?
Have you exchanged Powers of Attorney with anyone?
If so, why?
Do you have current health care proxies? Do you have any Trusts?
Why did you establish it?
Are any inheritances expected?
When?
How Much?
Securities offered through LPL Financial, Member FINRA/ SIPC
Spouse's Ranking
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
ASSETS Current Value
Interest Rate- %
Bank/Money Market Fund Names
Ownership
Certificate of Deposit- Bank Names
Ownership
Current Value
Maturity Date
Interest Rate- %
Brokerage Account Names
Ownership
Current Value
% Stocks
% Bond/Cash
Ownership
Number of Shares
Cost Basis
Current Value
Dividends Reinvest? Y/N
Ownership
Number of Shares
Cost Basis
Current Value
Dividends Reinvest? Y/N
Date Vested
Option Price
Number of Shares
Current Value
ISO of NonQualified
Owner
Total Cost
Purchase Date
Annual Income
Write-Offs or Tax Credits?
Mutal Funds
Stock/Bonds Held by You (Description)
Stocks Options (Indicated Owner)
Limited Partnership (Description)
Securities offered through LPL Financial, Member FINRA/ SIPC
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
RETIREMENT ISSUES At what age do you plan to retire?
What age will your spouse retire?
How much annual income, in today's dollars, will you want in retirement? Do you plan on working after retirement?
Yes
No
Have you verified the status of your Social Security benefits? If yes, what is the full monthely benefit you can expect?
Earnings per year: $ Yes
No Spouse?
Do you expect to have any debts in retirement? Yes No Explain: Do you have any aspirations to make seasonal location changes? (ie. Winters in Florida?) Yes No Explain:
RETIREMENT PLANS - CLIENT Type: IRA, ROTH IRA, 401k, 403(b), Pension Plan, Profit Sharing, SEP, SIMPLE IRA,ect.
Where Invested Current Value
Your Annual Contribution
Employer Contribution
% Vested in Plan
Where Invested Current Value
Your Annual Contribution
Employer Contribution
% Vested in Plan
RETIRMENT PLANS - SPOUSE Type: IRA, ROTH IRA, 401k, 403(b), Pension Plan, Profit Sharing, SEP, SIMPLE IRA,ect.
Any Specific Information you would like to add?
Securities offered through LPL Financial, Member FINRA/ SIPC
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
REAL ESTATE PROPERTY Property Category
Home
Other #1
Other #2
Address Describe Vacation, Home Investment Property, Ect. Owner Month/ Year Purchased Cost of Improvements Current Market Value Mortage Amount Mortage Date Interest Rate/ Years Remain Monthly Payment (principal and interest) Annual Property Tax Homeowners Insurance Co-op or Condo Fee
RENTAL PROPERTY If you receive rent from your properties, indicate here Monthly Rental Income $
$
When do you intend to raise the the rent? How much will you raise it? $
$
When did you last raise the rent? Management Fees you pay $
$
Repairs and Maintenacne Costs $
$
Utilities paid by you $
$
POTENTIAL REAL ESTATE PURCHASES Do you have plans to change your residence in the near future? Yes Do you have long term plans of owning a vacation home?
Yes
No No
Explain: Explain:
Securities offered through LPL Financial, Member FINRA/ SIPC
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
PERSONAL PROPERTY (OTHER THAN REAL ESTATE) Car #1
Car #2
Furniture & Jewelry
Collectibles
Other: Describe
Owner Estimated Value
LIABILITIES (NOT REAL ESTATE) List All Loans and Debts (Auto, School, Credit Cards, ect.)
Amount Due
Monthly Payment
Credit Limit
Outstanding Balance
Est. Payoff Date
Interest Rate
EQUITY LINE OF CREDIT Bank Name
Original Date
Interest Rate
Form of Payment
FINANCIAL ADVISORS Name, Address & Phone Number Accountant Attorney Banker Casualty Ins. Agent Financial Planner Stockbrocker Trust Officer
BUSINESS INFORMATION Name of Business Estimated Book Value Percent Ownership Is there a Buy/ Sell Agreement? Notes Payable to Bus.? What are the terms? Original Amount
Length of Note
Interest Rate
Original Date
Securities offered through LPL Financial, Member FINRA/ SIPC
Payments: Monthly, Annual?
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
INSURANCE Policy #1
Life Insurance
Policy #2
Policy #3
Policy #4
Company Name & Policy Number Face Value Policy Date Cash Value Annual Premium Policy Type (Whole life, term, universal life group, ect) Insured Owner Beneficiary Amount of Loan Due Inserest Rate Please bring policies and or company benefit statements as well as your most recent premium notice. (Attach another sheet if insufficient space)
Disability Insurance
Client
Spouse
Client
Spouse
Client
Spouse
Client
Spouse
Name of Carrier Monthy Benefit Annual Premium Through Company or Personally owned Waiting Period and Length of Benefits Medical Insurance Name of Insurance Carrier Annual Deductible Annual Premium Auto Insurance Name of Insurance Carrier Annual Deductible for Collision/ Comprehensive Annual Premium Homeowners Insurance Name of Insurance Carrier Amount of Deductible Annual Premium Amount of Umbrella Coverage/ Premium Replacement Value (Yes of No)
Securities offered through LPL Financial, Member FINRA/ SIPC
FACT FINDER CONFIDENTIAL INFORMATION
115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
COMMITTED EXPENSES (EXPENSES YOU CANNOT READILY REDUCE) Average Monthly Expense
Please choose either month expenses or annual costs
Estimated Annual Cost
Anticipated Change (Y/N)
Rent (not mortgage) Renter's Insurance Gas, Oil Auto Repair Utilities, Water, Sewer Telephone Online Expenses Medical, Dental Other Insurance Premiums Groceries Clothing, Dry Cleaning Personal Care Alimony/ Child Support Support for Relatives Education/ Day Care Job Related Expenses
DISCRERTIONARY EXPENSES (EXPENSES THAT ARE POSSIBLE TO REDUCE, IF NEEDED) Average Monthly Expense
Please choose either month expenses or annual costs
Estimated Annual Cost
Annual Vacation(s) Entertainment (Theater, Sports, Outdoor Activities) Dining Out Cable Television Gifts Babysitter Kids Activities Hobbies Subscriptions Pocket Money Charitable Contributions Lawn Care/ Snow Plow Home Improvement Other Planning any major expenses or unusual fluctuations in your expenses?
Is there anything else we should know about your expenses?
Securities offered through LPL Financial, Member FINRA/ SIPC
Anticipated Change (Y/N)
FACT FINDER 115 Atrium Way Suite 101, Columbia, SC 29223 • (803) 736-2020
CONFIDENTIAL INFORMATION
YOUR THOUGHTS This page is reserved so that you can prepare any questions you may have for us.
Securities offered through LPL Financial, Member FINRA/ SIPC
