Retirement Planning Checklist

RETIREMENT PLANNING CHECKLIST

RECITALS

WHEREAS, Client Name: and Advisor Name: desire to document the information, items reviewed, and actions required to prepare and implement a retirement plan;

WHEREAS, the parties intend this Checklist to record the scope of advisory services to be provided, the items reviewed, any outstanding action items, and certain commercial terms governing compensation and termination.

Effective Date:

SCOPE OF WORK

CHECKLIST — DOCUMENTS & INFORMATION REVIEWED

Personal & Household Information

Birth date and legal identification verified — Completed Date:

Social Security statement and estimated benefit reviewed — Completed Date:

Marital status and beneficiary designations verified — Completed Date:

Income, Pensions & Benefits

Pension plan documentation provided and reviewed — Completed Date:

Employer benefits (retiree health, deferred comp) reviewed — Completed Date:

Investment Accounts

Account statements for IRAs, 401(k)s, brokerage accounts received — Completed Date:

Estate & Insurance

Last will, trust, power of attorney, and healthcare proxy reviewed — Completed Date:

Life and long-term care insurance policies reviewed — Completed Date:

Tax & Legacy Planning

Most recent tax returns received — Completed Date:

ACTION ITEMS & TIMELINES

Responsible Party: Target Completion Date:

Responsible Party: Target Completion Date:

Responsible Party: Target Completion Date:

PAYMENT TERMS

Client agrees to remit payment in accordance with the Payment Schedule above. Late payments shall accrue the Late Payment Fee from the date payment is due until paid in full. Fees payable under this Checklist are independent of any third-party costs or product expenses.

TERM AND TERMINATION

Term Start Date:    Term End Date (if applicable):

Notice Period for Termination by either party: days.

Either party may terminate this engagement upon written notice to the other whereupon Client shall remain responsible for fees earned and expenses incurred through the effective termination date. Advisor shall deliver to Client, without unreasonable delay, work product completed as of the termination date.

CONFIDENTIALITY

Each party acknowledges that in the course of performance it may receive Confidential Information of the other. Confidential Information shall mean non-public information disclosed in written, electronic, or oral form. Parties shall hold such information in strict confidence and shall use it solely for purposes of performing under this Checklist. Confidentiality obligations shall survive termination for a period of years, except to the extent disclosure is required by law.

GOVERNING LAW

This Checklist shall be governed by and construed in accordance with the laws of the state of without regard to its choice of law principles.

ENTIRE AGREEMENT

This Checklist, together with the Scope of Work and any attachments executed by the parties, constitutes the entire agreement between the parties concerning the subject matter herein and supersedes all prior and contemporaneous agreements, understandings, negotiations and discussions, whether oral or written.

ACKNOWLEDGEMENT

Client acknowledges that the information provided is accurate to the best of Client's knowledge and agrees to promptly notify Advisor of any material changes.

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