Click on the headings below to link to informational materials and forms that might be of interest. Please let us know if there is anything you would 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.
Form CRS - Client Relationship Summary -- Each new client is to receive this several page form that lays out what services can be provided for at Trustmont's Broker Dealer level as well as on an individual advisor's level through advisory accounts. Besides listing services available, it also notes how clients pay for services.
ADV Part 2A and Part 2B — Click here to view ADV Part 2A, the Firm Brochure for Trustmont Advisory Group, Inc. 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 specifically to our Investment Advisor Representatives. Click here if you wish to view the ADV Part 2B for Lynn including his educational background and business experience, or click here to view the ADV Part 2B for Alissa.
Map and Directions to Appelman Financial — If you are unsure of our location, please print this out so you can better find your way to your appointment.