Appelman Resources
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| Appelman Financial |
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Here are some various forms and informational material that we
thought you might find interesting. Please let us know if there is any
information that you’d like to learn more about that you don’t see
listed here.
Also, please note that any items that are part of our mandatory
annual disclosure materials are shown here with an asterisk.
thought you might find interesting. Please let us know if there is any
information that you’d like to learn more about that you don’t see
listed here.
Also, please note that any items that are part of our mandatory
annual disclosure materials are shown here with an asterisk.
 | *Business Continuity Plan — We are mandated by FINRA and the | |
| SEC to have this information available to share with our clients on how our office will function in the event of an emergency. Please know that all of our clients will have continuous access to Lynn and/or Alissa as well as to their accounts! |
| *Ethics Policy — Our office has an Ethics Policy in force through | |
| Trustmont Financial Group, Inc. and Trustmont Advisory Group, Inc. The purpose of the policy is to serve as a guide to ethical practices when dealing with the public, clients, correspondents, Annuity & Insurance Companies, and Mutual Funds. |
| Financial Planning Questionnaire — We usually mail these forms out | |
| ahead, but should you be scheduling a new appointment quickly, you may print off this questionnaire to fill out and bring with you to your initial consultation so that we will be ready to assist you. Remember you will need to bring your financial statements, copies of your last income tax return, and YOUR SPOUSE to your appointment. We know these seem like a lot of questions and ones very personal in nature, but we need to see your whole financial picture in order to advise you. |
| Form ADV Part 2A and 2B — If you wish to read the Firm Brochure | |
| for Trustmont Advisory Group, Inc., click here to view their Form ADV Part 2A. This includes information pertaining to their advisory business, including fees and compensation, types of clients, code of ethics, and brokerage practices among other things. The ADV Form Part 2B, is the Individual Disclosure Brochure which pertains to our Investment Adviser Representatives specifically. Click here if you wish to view Lynn's ADV Part 2B including his educational background and business experience, or click here to view Alissa's ADV Part 2B. |
| Map to Appelman Financial — Here is a map with written directions | |
| of how to get to our office. If you are unsure of where we are located, please print this out ahead of time so we can help you find your way to us for your appointment! |
| New/Updated Account Form — If you are a new client, we will | |
| complete this form with you in order to get your account started. If you are already a client of ours and have had any changes to your contact or investment information, we need to know! Simply print off a copy and fill out the form with the "Updated Form" box checked in the upper left-hand corner and mail it in to us—then we can make sure that all of your fund companies are made aware of any changes. |
| Our Most Recent Newsletter — We have incorporated our latest | |
| newsletter, but remember they are published quarterly and most of the time the information changes rather quickly! |
| *Privacy Disclosure Document/Customer Identification Program | |
| Notice/SIPC Information/Proxy Voting Statement — This document allows our clients to access our Privacy Policy so please know that we will not disclose your "nonpublic personal information" to anyone without your express consent. The Customer Identification Program Notice is our policy on the various forms of ID clients will need to provide in order to open a new account. We also have the contact information for the Securities Investor Protection Corporation (SIPC) so clients can contact them via phone or website. The final component of the document states that Trustmont Advisory Group, Inc. does not vote by proxy on behalf of their clients. |
| Referral Form — We are always ready to help any of your family, | |
| friends, neighbors or co-workers who could use our assistance with their financial matters. We’d love to hear from you with names and telephone numbers of folks you would like us to contact, so feel free to fill it out our paper form and mail it in or complete the web form below and send it to us electronically. And remember, we can also make a presentation to a club or organization you belong to if you would like us to. |
| Tax Law Updates for 2011 -- Since Appelman Financial prepares | |
| income taxes for a fee as an added service to our clients, we are very in tune with the latest tax laws and trends. To help educate our clients in this important area, we send a yearly tax newsletter to those clients who use our tax preparation services. If you would like to know more, please read our latest tax update. |
| What Happens Letter — Although certainly not a pleasant topic, many | |
| of Lynn’s clients would like to know what happens in the event that he is physically unable to handle their accounts. |
| Why Choose Appelman Financial — Like you, we are aware that | |
| there are many Financial Planning offices nearby. We want to show you why we feel it is important to check us out; we think we have something very special going on here! Being an independent firm with no proprietary products, we can offer all the best financial products and services. |
