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Prepare for Your Meeting with a Financial Professional or Advisor

Working with a financial professional or advisor can be an important step in working to achieve your dreams. You can make the most of your meeting by doing some basic prep work ahead of time. These tips can help.

1. Ask what to bring

Your financial professional or advisor may give you a specific checklist of information for you to bring to your first meeting. If not, ask him or her what you should bring. Examples may include:

  • Recent financial statements (checking and savings accounts, stocks, mutual funds, 529 plans and so on)
  • A list of assets and debts
  • Your most recent Social Security statement
  • Insurance policies (such as life and disability insurance)
  • Your most recent tax return
  • A list of employee benefits (retirement plans, insurance, etc.)

2. Think about your financial goals

Your financial professional or advisor needs to understand you and your goals for the future.

3. Write down any questions or concerns

You may have a lot of questions for your financial professional or advisor — or just a few. Regardless, it's a good idea to write them down beforehand so you don't forget. Any financial issues — from minor questions to keeping-you-up-at-night dilemmas — are up for discussion.

4. Ask about next steps

Before you leave the meeting, make sure you understand what you need to do next. Your advisor may need you to collect more information on your finances, for example, or review some initial recommendations. Your plan will come together faster if you're both on the same page.


Insurance products from the Principal Financial Group® issued by Principal National Life Insurance Company (except in New York) and Principal Life Insurance Company. Securities are offered through Princor Financial Services Corporation, 800.247.1737, member SIPC. Princor®, Principal National and Principal Life are members of the Principal Financial Group, Des Moines, IA 50392.


Have a question? Call us at 1.800.986.3343

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Securities offered through Princor Financial Services Corporation, member SIPC