Appelman Resources
Welcome to
Appelman Financial
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.

*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.

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
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 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
your appointment!   

*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.


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 are permitted to offer a wide range of
companies and services to suit your needs.