Broker Check

Appelman Financial Literature

Kindly click on the headings below to link to informational materials and forms that might be of interest to you.

Please let us know if there is anything you would like to learn about that is not included.

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

Client Relationship Summary - Each new client is to receive this several page Form CRS that lays out what services can be provided 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.

* Business Continuity Plan - We are mandated by FINRA and the SEC to have this information available to our clients regarding how our office would function in the event of an emergency.  Please knw that all of our clients will have continuous access to Alissa and/or Keeyan as well as to their accounts.

* Ethics Policy - Our office has an ethics policy in force through Trustmont Finical 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.

* Privacy Disclosure/Customer Identification Policy/SIPC/Proxy Voting - This document explains our privacy policy.  Kindly be aware 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 listed for the Securities Investor Protection Corporation (SIPC) so clients may contact them via phone or website.  The final component of the document states that Trustmont Advisory Group, Inc. does not vote by proxy on the behalf of their clients.

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 Part 2B is the individual disclosure brochure which pertains specifically to our Investment Advisor Representatives.  Click here if you wish to view the educational background and business experience of our advisors, select ADV Part 2B for Alissa or ADV Part 2 B for Keeyan.

Understanding Fees, Charges & Other Compensation - An additional disclosure, Regulation BI Disclosure, is to be given on all new mutual fund accounts.  This document explains how Trustmont Group and your financial advisor are paid for your investment and also discusses any potential conflicts of interest.

Maps & Directions to Appelman Financial - If you are unsure of our office's location, feel free to print this out so you can find your way to your appointment more easily.