Broker Check

Lynn C. Appelman

Certified Financial Planner™ CFP®

Alissa L. Conklin

Chartered Financial Consultant® ChFC®

Appelman Financial Literature

Click on the headings below to link to several forms and informational materials that might be of interest. Please let us know if there is anything you’d like to learn more about that is not listed.

* Please note that those items shown with an asterisk are part of our mandatory annual disclosure materials. *

* Business Continuity Plan  We are mandated by FINRA and the SEC to have this information available to share with our clients regarding 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 clients, the public, and correspondents, as well as annuity, insurance and mutual fund companies.

ADV Part 2A and Part 2B —  To see the Firm Brochure for Trustmont Advisory Group, Inc., click here to view Trustmont's ADV Part 2A. This document highlights 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 Advisor 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 and Directions to Appelman Financial — If you are unsure of our location, please print this out ahead of time so you can better find your way to your appointment.

* Privacy Disclosure/Customer Identification Program/SIPC/Proxy Voting — This document allows our clients to access our Privacy Policy. 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.

 

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