A GUIDE TO YOUR STATEMENTS
Member FINRA/SIPC
982884.indd 1 11/15/17 8:24 PM
Your quarterly statements from LPL Financial are designed to provide a clear, comprehensive view of your investments.
Inside each statement, you’ll find:
n A summary of key information is presented first on statements.
n Total values and important changes are highlighted up-front, followed by supporting details.
n Charts and graphs help you understand your information at a glance.
n Explanations and disclosures are written in plain, understandable language.
n If you have questions, your financial advisor’s phone number and contact information are on the very first page.
In addition to your quarterly statement, LPL generates a simplified statement in any month when there is qualifying activity in the account.
One more reason to work with a financial advisor backed by the resources of LPL Financial. With us, your needs always come first.
982884.indd 2 11/15/17 8:24 PM
The Consolidated Portfolio Summary provides a high-level view of all your LPL Financial accounts.
If you have more than one LPL Financial account, but receive separate statements, you won’t see this summary. Ask your advisor to set up a combined group statement for your accounts.
Page 1 of 2Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
3rd Quarter 2016 Statement
($184,397.71)
Primary Advisor: Matthew Williams(123)-345-6789 | [email protected] Smith St. San Diego, CA 92515
Values as of September 30, 2016
Your Portfolio
Appleseed Investments
WILL CLARK INFORMATION LINE 123 MAIN ST, DELIVERY ADDRESS 1DELIVERY ADDRESS 2ANYTOWN, ST 12345-6789
Your Investment Advisor Firm:Appleseed Investments
AC 02 000020 09278 H 1 B**C001
5 Accounts
Total Change in Value YTD
($29,119.31)
($185,344.75)
($1,873.89)
$31,940.24
$0.00
Go paperless and view your monthly statements and trade confirmations online. Monthly statements are available online within three business days, and trade confirmations are available the next business day after the trade is executed. To go paperless, click on the LPL AccountView link accessible throughyour financial advisor or institution website.
PAPERLESS STATEMENTS
Total
Your Accounts Account Nickname AmountAccount # StatusLocation
1. LPL
2. LPL
3. LPL & Other
4. Other
5. Other
$1,710,923.71
$545,563.991123-1213
$167,081.670123-1814
$11,793.681234-5567
$895,048.190166-1721
$91,436.181199-1883
Susan's MWP IRA
Susan's Investment Account
Will's Investment Account
Will's IRA Account
Susan's Outside Account
Starting Value
Ending Value (Sept 30, 2016)
Market Fluctuation
Undefined Change (from assets not held at LPL) 1
Dividends, Interest, Capital Gains
Fees / Expenses
Contributions / Inflows
Distributions / Outflows
Total Change in Value
$1,895,321.42 $1,747,690.01
$1,710,923.71 $1,710,923.71
$2,500.00 $0.00
($121,009.33) ($14,533.12)
($101,437.68) $14,754.93
$31,940.24 ($36,221.19)
$5,280.29
($1,671.23)
$828.20
($504.90)
Year to Date01/01 – 09/30/2016
3rd Quarter07/01 – 09/30/2016
($184,397.71) ($36,766.30)
1 Undefined Change from assets held outside of LPL Financial. This could include: inflows, outflows, income, market fluctuation, and fees.
Value on January 1, 2016 Value on September 1, 2016
$1,741,064.89$1,895,321.42 $1,710,923.71
Value on September 30, 2016
since the last statement
Page 1 of 2Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
3rd Quarter 2016 Statement
($184,397.71)
Primary Advisor: Matthew Williams(123)-345-6789 | [email protected] Smith St. San Diego, CA 92515
Values as of September 30, 2016
Your Portfolio
Appleseed Investments
WILL CLARK INFORMATION LINE 123 MAIN ST, DELIVERY ADDRESS 1DELIVERY ADDRESS 2ANYTOWN, ST 12345-6789
Your Investment Advisor Firm:Appleseed Investments
AC 02 000020 09278 H 1 B**C001
5 Accounts
Total Change in Value YTD
($29,119.31)
($185,344.75)
($1,873.89)
$31,940.24
$0.00
Go paperless and view your monthly statements and trade confirmations online. Monthly statements are available online within three business days, and trade confirmations are available the next business day after the trade is executed. To go paperless, click on the LPL AccountView link accessible throughyour financial advisor or institution website.
PAPERLESS STATEMENTS
Total
Your Accounts Account Nickname AmountAccount # StatusLocation
1. LPL
2. LPL
3. LPL & Other
4. Other
5. Other
$1,710,923.71
$545,563.991123-1213
$167,081.670123-1814
$11,793.681234-5567
$895,048.190166-1721
$91,436.181199-1883
Susan's MWP IRA
Susan's Investment Account
Will's Investment Account
Will's IRA Account
Susan's Outside Account
Starting Value
Ending Value (Sept 30, 2016)
Market Fluctuation
Undefined Change (from assets not held at LPL) 1
Dividends, Interest, Capital Gains
Fees / Expenses
Contributions / Inflows
Distributions / Outflows
Total Change in Value
$1,895,321.42 $1,747,690.01
$1,710,923.71 $1,710,923.71
$2,500.00 $0.00
($121,009.33) ($14,533.12)
($101,437.68) $14,754.93
$31,940.24 ($36,221.19)
$5,280.29
($1,671.23)
$828.20
($504.90)
Year to Date01/01 – 09/30/2016
3rd Quarter07/01 – 09/30/2016
($184,397.71) ($36,766.30)
1 Undefined Change from assets held outside of LPL Financial. This could include: inflows, outflows, income, market fluctuation, and fees.
Value on January 1, 2016 Value on September 1, 2016
$1,741,064.89$1,895,321.42 $1,710,923.71
Value on September 30, 2016
since the last statement
Page 1 of 2Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
3rd Quarter 2016 Statement
($184,397.71)
Primary Advisor: Matthew Williams(123)-345-6789 | [email protected] Smith St. San Diego, CA 92515
Values as of September 30, 2016
Your Portfolio
Appleseed Investments
WILL CLARK INFORMATION LINE 123 MAIN ST, DELIVERY ADDRESS 1DELIVERY ADDRESS 2ANYTOWN, ST 12345-6789
Your Investment Advisor Firm:Appleseed Investments
AC 02 000020 09278 H 1 B**C001
5 Accounts
Total Change in Value YTD
($29,119.31)
($185,344.75)
($1,873.89)
$31,940.24
$0.00
Go paperless and view your monthly statements and trade confirmations online. Monthly statements are available online within three business days, and trade confirmations are available the next business day after the trade is executed. To go paperless, click on the LPL AccountView link accessible throughyour financial advisor or institution website.
PAPERLESS STATEMENTS
Total
Your Accounts Account Nickname AmountAccount # StatusLocation
1. LPL
2. LPL
3. LPL & Other
4. Other
5. Other
$1,710,923.71
$545,563.991123-1213
$167,081.670123-1814
$11,793.681234-5567
$895,048.190166-1721
$91,436.181199-1883
Susan's MWP IRA
Susan's Investment Account
Will's Investment Account
Will's IRA Account
Susan's Outside Account
Starting Value
Ending Value (Sept 30, 2016)
Market Fluctuation
Undefined Change (from assets not held at LPL) 1
Dividends, Interest, Capital Gains
Fees / Expenses
Contributions / Inflows
Distributions / Outflows
Total Change in Value
$1,895,321.42 $1,747,690.01
$1,710,923.71 $1,710,923.71
$2,500.00 $0.00
($121,009.33) ($14,533.12)
($101,437.68) $14,754.93
$31,940.24 ($36,221.19)
$5,280.29
($1,671.23)
$828.20
($504.90)
Year to Date01/01 – 09/30/2016
3rd Quarter07/01 – 09/30/2016
($184,397.71) ($36,766.30)
1 Undefined Change from assets held outside of LPL Financial. This could include: inflows, outflows, income, market fluctuation, and fees.
Value on January 1, 2016 Value on September 1, 2016
$1,741,064.89$1,895,321.42 $1,710,923.71
Value on September 30, 2016
since the last statement
Your Portfolio Displays a clear picture of most important information. Two time ranges compared side by side for more transparent and in-depth account understanding.
Your Accounts View important account information consolidated for the entire household portfolio.
1 1
2 2
Page 2 of 2Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
Your Portfolio
Asset Allocation As of September 30, 2016
$795,631.2156.50%Variable Annuities1.
$269,888.3615.77%Mutual Funds / ETF's2.
$190,853.16
$162,328.67
11.15%
9.49%
Fixed Annuities
Undefined 1
3.
4.
$155,995.789.12%Cash / Money Market5.
$125,012.377.31%Alternative Investments6.
$11,214.16
—
0.66%
—
Stocks / Options
Fixed Income
7.
8.
1
2
3
4
5
6 7
Variable Annuities
Mutual Funds
Fixed Annuities
Undefined
Cash
Alt. Investments Stocks
1 Undefined: There are assets held outside of LPL and cannot be defined by asset type.
Asset Allocation Summarizes the portfolio’s asset allocation in list and graphical pie chart format.3
3
The example provided is merely an illustration and does not represent an actual statement or account.
982884.indd 3 11/15/17 8:24 PM
Page 1 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
`
0123-1814
SUSAN CLARK INFORMATION LINE 123 MAIN ST, DELIVERY ADDRESS 1DELIVERY ADDRESS 2ANYTOWN, ST 12345-6789
AC 02 000020 09278 H 1 B**C001
Susan's Investment Account
2 OF 5 ACCOUNTS
2
Starting Value
Ending Value (September 30, 2016)
Contribitions / Inflows
Distributions / Outflows
Market Fluctuation
Fees / Expenses
Total Change in Value
Dividends, Interest, Capital Gains
Account Summary
$352,426.42
$167,081.67
$0.00
($193,765.10)
$8,340.46
($4,055.77)
($185,344.75)
$4,135.66
Year to Date01/01 – 09/30/2016
$169,445.64
$167,081.67
$0.00
$0.00
($2,340.09)
($202.42)
($2,363.97)
$178.54
3rd Quarter07/01 – 09/30/2016
Appleseed Investments
Investment Objective
Growth with Income
Advisor: Matthew Williams(123)-345-6789 | [email protected] Smith St. San Diego, CA 92515
3rd Quarter 2016Values as of September 30, 2016
$0.00
$4,851.34
($18,010.80)
$0.00$0.00
Short Term
Long Term
Unrealized Gain/Loss
Gain/Loss SummaryYear to Date (Realized)
01/01 – 09/30/20163rd Quarter (Realized)
07/01 – 09/30/2016
Your Investment Advisor Firm:Appleseed Investments
$148,325.3088.77%Mutual Funds / ETF's1.
$16,000.219.58%Cash / Money Market2.
$2,756.16
—
1.65%
—
Stocks / Options
Fixed Income
3.
4.
1
23
Mutual Funds
CashStocks
Asset Allocation As of September 30, 2016
Realized
Unrealized
A copy of this statement was sent to James Worthy.
Value on January 1, 2016 Value on September 1, 2016
$161,789.77$352,426.42 $161,081.67
Value on September 30, 2016
since the last statement
The first page of an account statement gives you a high-level view of your account and any changes in value that have occurred during the period. The format of the account-level summary is similar to that of the Consolidated Portfolio Summary, so they are easy to reconcile.
Investment Objective Displays the investment objective for the account in a graphical format.
Account Summary Shows activity information for the investment accounts year to date and current quarter.
Gain/Loss Summary Summarizes the realized and unrealized gains and losses for non-retirement accounts. For retirement accounts, a Retirement Summary appears here (example on number 6).
Page 1 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
`
0123-1814
SUSAN CLARK INFORMATION LINE 123 MAIN ST, DELIVERY ADDRESS 1DELIVERY ADDRESS 2ANYTOWN, ST 12345-6789
AC 02 000020 09278 H 1 B**C001
Susan's Investment Account
2 OF 5 ACCOUNTS
2
Starting Value
Ending Value (September 30, 2016)
Contribitions / Inflows
Distributions / Outflows
Market Fluctuation
Fees / Expenses
Total Change in Value
Dividends, Interest, Capital Gains
Account Summary
$352,426.42
$167,081.67
$0.00
($193,765.10)
$8,340.46
($4,055.77)
($185,344.75)
$4,135.66
Year to Date01/01 – 09/30/2016
$169,445.64
$167,081.67
$0.00
$0.00
($2,340.09)
($202.42)
($2,363.97)
$178.54
3rd Quarter07/01 – 09/30/2016
Appleseed Investments
Investment Objective
Growth with Income
Advisor: Matthew Williams(123)-345-6789 | [email protected] Smith St. San Diego, CA 92515
3rd Quarter 2016Values as of September 30, 2016
$0.00
$4,851.34
($18,010.80)
$0.00$0.00
Short Term
Long Term
Unrealized Gain/Loss
Gain/Loss SummaryYear to Date (Realized)
01/01 – 09/30/20163rd Quarter (Realized)
07/01 – 09/30/2016
Your Investment Advisor Firm:Appleseed Investments
$148,325.3088.77%Mutual Funds / ETF's1.
$16,000.219.58%Cash / Money Market2.
$2,756.16
—
1.65%
—
Stocks / Options
Fixed Income
3.
4.
1
23
Mutual Funds
CashStocks
Asset Allocation As of September 30, 2016
Realized
Unrealized
A copy of this statement was sent to James Worthy.
Value on January 1, 2016 Value on September 1, 2016
$161,789.77$352,426.42 $161,081.67
Value on September 30, 2016
since the last statement
1
1
2
3
2
4 Asset Allocation Summarizes the account’s asset allocation in list and graphical pie chart format.
Messages From Your Financial Advisor View important messages and updates from your Financial Advisor.
Retirement Summary Summarizes the activity for the retirement accounts.
Page 1 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
`
0123-1814
SUSAN CLARK INFORMATION LINE 123 MAIN ST, DELIVERY ADDRESS 1DELIVERY ADDRESS 2ANYTOWN, ST 12345-6789
AC 02 000020 09278 H 1 B**C001
Susan's Investment Account
2 OF 5 ACCOUNTS
2
Starting Value
Ending Value (September 30, 2016)
Contribitions / Inflows
Distributions / Outflows
Market Fluctuation
Fees / Expenses
Total Change in Value
Dividends, Interest, Capital Gains
Account Summary
$352,426.42
$167,081.67
$0.00
($193,765.10)
$8,340.46
($4,055.77)
($185,344.75)
$4,135.66
Year to Date01/01 – 09/30/2016
$169,445.64
$167,081.67
$0.00
$0.00
($2,340.09)
($202.42)
($2,363.97)
$178.54
3rd Quarter07/01 – 09/30/2016
Appleseed Investments
Investment Objective
Growth with Income
Advisor: Matthew Williams(123)-345-6789 | [email protected] Smith St. San Diego, CA 92515
3rd Quarter 2016Values as of September 30, 2016
$0.00
$4,851.34
($18,010.80)
$0.00$0.00
Short Term
Long Term
Unrealized Gain/Loss
Gain/Loss SummaryYear to Date (Realized)
01/01 – 09/30/20163rd Quarter (Realized)
07/01 – 09/30/2016
Your Investment Advisor Firm:Appleseed Investments
$148,325.3088.77%Mutual Funds / ETF's1.
$16,000.219.58%Cash / Money Market2.
$2,756.16
—
1.65%
—
Stocks / Options
Fixed Income
3.
4.
1
23
Mutual Funds
CashStocks
Asset Allocation As of September 30, 2016
Realized
Unrealized
A copy of this statement was sent to James Worthy.
Value on January 1, 2016 Value on September 1, 2016
$161,789.77$352,426.42 $161,081.67
Value on September 30, 2016
since the last statement
4
5
6
Page 2 of 9Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
1123-12133 Susan's MWP IRA
Messages From Your Financial Advisor
Be sure to visit our website at www.appleseedinvestments.com.
Your LPL Financial Statement is available online 24-7! Access my website and click on Account View in the upper right hand corner at your convenience. Think of the Independent Investor publication as your portal to stay informed about financial trends and analysis that can benefit you in reaching your financial goals and objectives. Contact us and we'll make sure it comes to you monthly. As your partner in the pursuit of your life's goals and aspirations, I am always available to meet with you to discuss how your investment portfolio can stay aligned with your goals. Please call our office today so we can set up a time to meet.
Thank you for referring friends, family and associates to me. I regard every investor as a unique individual and consider the needs, interests and goals of this individual thoughtfully and thoroughly before making an investment recommendation of any kind.
3
Page 1 of 9Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
0123-1814
SUSAN CLARK INFORMATION LINE 123 MAIN ST, DELIVERY ADDRESS 1DELIVERY ADDRESS 2ANYTOWN, ST 12345-6789
AC 02 000020 09278 H 1 B**C001
Susan's MWP IRA Account
3 OF 5 ACCOUNTS
3Appleseed Investments
Investment Objective
Growth with Income
Advisor: Matthew Williams(123)-345-6789 | [email protected] Smith St. San Diego, CA 92515
3rd Quarter 2016Values as of September 30, 2016
Retirement Summary
$0.00 $0.00
$516,444.68
($98,000.00) ($109,138.90)
$20,173.62
$0.00
$300.00
($25,553.09) ($31,034.72)
Retirement Contribitions applied to...
Fair Market Value as of 12/31/2016
Retirement Distributions applied to...
Required Minimum Distribution 2016
Required Distribution Remaining as of 09/30/2016
Annual Maintenance Fee (due 12/31/2016)
Tax Withheld
20162015
5 Undefined: There are assets held outside of LPL and cannot be defined by asset type.
.
Your Investment Advisor Firm:Appleseed Investments
A copy of this statement was sent to James Worthy.
`
Starting Value
Ending Value (September 30, 2016)
Contribitions / Inflows
Distributions / Outflows
Market Fluctuation
Fees / Expenses
Dividends, Interest, Capital Gains
Total Change in Value
$516,444.68
$545,563.99
$180,000.00
($140,173.62)
($24,458.76)
($372.48)
$14,124.17
$29,119.31
Year to Date01/01 – 09/30/2016
$567,631.75
$545,563.99
$0.00
($10,000.00)
($12,414.84)
($302.48)
$649.56
($22,067.76)
3rd Quarter07/01 – 09/30/2016
Asset Allocation As of September 30, 2016
$162,328.6729.76%Undefined 51.
$128,201.8923.50%Cash / Money Market2.
$125,012.37
$121,563.06
22.91%
22.28%
Alternative Investments
Mutual Funds / ETF's
3.
4.
$8,458.001.55%Stocks / Options5.
Find Income6. ——
1
2
3
4
5
UndefinedMutual Funds
Cash
Alternative Investments
Stocks
Account Summary
Value on January 1, 2016 Value on September 1, 2016
$539,786.23$516,444.68 $545,563.99
Value on September 30, 2016
since the last statement
6
5
The example provided is merely an illustration and does not represent an actual statement or account.
982884.indd 4 11/15/17 8:24 PM
Your account holdings are grouped by investment type, and the value of each security on the last day of the month is displayed. The investment types correspond to those shown in the investment allocation and pie chart in your account-level summary.
Page 3 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
Account HoldingsAs of September 30, 2016
Total Cash and Cash Equivalents $3.39$3..39
Cash (DCA4) HSBC BANK USA NATIONAL ASSOCI $3.39$3.39 $16,000.21
$16,000.21
0.003%
Cash & Cash Equivalents
0123-1814Susan's Investment Account2
Security ID / Description
Security ID / Description
Total of Stocks and Options
Mutual Funds, ETF's, and Closed-End Funds continued on next page...
$185.00$47.98
MLPN CREDIT SUISSE X-LINKS C CUSHING MLP INFRA ETN C
AHIFX AMERICAN HIGH INCOME CL F2 R
MCGFX AMG MANAGERS MONTAG CALDWELL GROWTH CL N R
GSTOX GOLDMAN SACHS SMALL CAP GROWTH INSIGHTS CL IR R
ABNFX BOND FUND OF AMERICA CL F2 R
SMGIX COLUMBIA CONTRARIAN CORE CL Z R
DPFFX DELAWARE DIVERSIFIED INCOME INSTL CL R
IBAFX INTERMEDIATE BOND FUND OF AMERICA CL F2 R
USMV ISHARES EDGE MSCI MIN VOLATILITY ETF
WOBDX JPMORGAN CORE BOND SELECT CL R
MRFIX MFS RESEARCH CL I R
AADBX AMERICAN BEACON BALANCED INSTL CL R
AQMIX AQR MANAGED FUTURES STRATEGY CL I R
CAIFX CAPITAL INCOME BUILDER CL F2 R
DBLTX DOUBLELINE TOTAL RETURN BOND CL I R
GFFFX GROWTH FUND OF AMERICA CL F2 R
ICAFX INVESTMENT COMPANY OF AMERICA CL F2 R
JVLIX JOHN HANCOCK DISCIPLINED VALUE CL I R
CSHIX CREDIT SUISSE FLOATING RATE HIGH INCOME INSTL CL R
EstimatedAnnual Income
Estimated30-Day Yield
Estimated30-Day Yield
$47.98 $185.00 6.72%
$2,708.18$2,708.18
$2,708.18$2,708.18
$2,756.16
Quantity Price Market Value
132.000 $20.88 $2,756.16
Stocks & Options
Mutual Funds, ETF's, and Closed-End FundsEstimated
Annual IncomeUnrealized
Gain / Loss
UnrealizedGain / Loss
$69.89
($137.50)
$36.61
$66.83
$228.07
$32.05
($3.72)
$290.39
$39.00
$974.61
$184.86
($307.71)
($15.02)
($58.33)
$595.65
$255.30
$150.41
$46.64
$105.00
$125.00
$179.00
$97.00
$154.00
$104.00
$257.00
$207.00
$95.00
$73.00
$146.00
$137.00
$61.00
$78.00
$88.00
—
—
$92.00
6.19%
4.68%
2.05%
3.68%
2.73%
4.73%
3.29%
3.71%
0.86%
1.49%
1.79%
2.62%
1.36%
2.38%
0.98%
—
—
1.66%
Cost Basis
Cost Basis
Purchase Cost
Purchase Cost
$1,655.56$1,655.56
$4,546.59
$4,546.59
$1,568.16$1,568.16
$8,807.28$8,807.28
$5,419.81$5,419.81
$7,961.30$7,961.30
$5,010.22$5,010.22
$4,967.03$4,967.03
$3,380.83$3,380.83
$8,059.01$8,059.01
$5,390.21
$5,390.21
$3,019.15
$3,019.15
$2,715.22$2,715.22
$5,770.06$5,770.06
$10,600.54$10,600.54
$7,975.10$7,975.10
$4,402.85$4,402.85
$2,233.22$2,233.22
Quantity Price Market Value
169.495
225.414
55.471
680.009
256.256
906.276
367.585
119.000
288.594
232.048
365.339
277.528
47.001
526.427
258.752
229.387
254.942
337.258
$10.18
$19.56
$28.93
$13.05
$22.04
$8.82
$13.62
$44.18
$11.85
$38.93
$15.26
$9.77
$57.45
$10.85
$43.27
$35.88
$17.86
$6.76
$1,725.45
$4,409.09
$1,604.77
$8,874.11
$5,647.88
$7,993.35
$5,006.50
$5,257.42
$3,419.83
$9,033.62
$5,575.07
$2,711.44
$2,700.20
$5,711.73
$11,196.19
$8,230.40
$4,553.26
$2,279.86
4 Deposit Cash Account (DCA) is a bank deposit sweep program with an extra level of protection. Please see disclosures for more info.
5 Purchase Cost equals Cost Basis of Equities and Mutual Funds less any reinvested dividends and interest.
C Indicates dividends and/or capital gains distributed by this security will be distributed as cash.
R Indicates dividends and/or capital gains distributed by this security will be reinvested.
Description Interest (YTD) Blended Interest Rate Current Balance
Interest(Since last statement)08/01 – 09/30/2016
Cash & Cash Equivalents Displays excess cash swept into a Money Market Fund, Insured Cash Account, or Deposit Cash Account. The banks holding your insured cash account are also shown, along with dividend/interest paid and an interest and dividend rate.
Stocks & Options &Mutual Funds, ETFs, and Closed-End FundsDisplays totals for each asset type, providing a clear view of your investment mix.
Additional sections may appear as part of the account holdings summary, such as Alternative Investments and Purchase Cost.
1
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Page 3 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
Account HoldingsAs of September 30, 2016
Total Cash and Cash Equivalents $3.39$3..39
Cash (DCA4) HSBC BANK USA NATIONAL ASSOCI $3.39$3.39 $16,000.21
$16,000.21
0.003%
Cash & Cash Equivalents
0123-1814Susan's Investment Account2
Security ID / Description
Security ID / Description
Total of Stocks and Options
Mutual Funds, ETF's, and Closed-End Funds continued on next page...
$185.00$47.98
MLPN CREDIT SUISSE X-LINKS C CUSHING MLP INFRA ETN C
AHIFX AMERICAN HIGH INCOME CL F2 R
MCGFX AMG MANAGERS MONTAG CALDWELL GROWTH CL N R
GSTOX GOLDMAN SACHS SMALL CAP GROWTH INSIGHTS CL IR R
ABNFX BOND FUND OF AMERICA CL F2 R
SMGIX COLUMBIA CONTRARIAN CORE CL Z R
DPFFX DELAWARE DIVERSIFIED INCOME INSTL CL R
IBAFX INTERMEDIATE BOND FUND OF AMERICA CL F2 R
USMV ISHARES EDGE MSCI MIN VOLATILITY ETF
WOBDX JPMORGAN CORE BOND SELECT CL R
MRFIX MFS RESEARCH CL I R
AADBX AMERICAN BEACON BALANCED INSTL CL R
AQMIX AQR MANAGED FUTURES STRATEGY CL I R
CAIFX CAPITAL INCOME BUILDER CL F2 R
DBLTX DOUBLELINE TOTAL RETURN BOND CL I R
GFFFX GROWTH FUND OF AMERICA CL F2 R
ICAFX INVESTMENT COMPANY OF AMERICA CL F2 R
JVLIX JOHN HANCOCK DISCIPLINED VALUE CL I R
CSHIX CREDIT SUISSE FLOATING RATE HIGH INCOME INSTL CL R
EstimatedAnnual Income
Estimated30-Day Yield
Estimated30-Day Yield
$47.98 $185.00 6.72%
$2,708.18$2,708.18
$2,708.18$2,708.18
$2,756.16
Quantity Price Market Value
132.000 $20.88 $2,756.16
Stocks & Options
Mutual Funds, ETF's, and Closed-End FundsEstimated
Annual IncomeUnrealized
Gain / Loss
UnrealizedGain / Loss
$69.89
($137.50)
$36.61
$66.83
$228.07
$32.05
($3.72)
$290.39
$39.00
$974.61
$184.86
($307.71)
($15.02)
($58.33)
$595.65
$255.30
$150.41
$46.64
$105.00
$125.00
$179.00
$97.00
$154.00
$104.00
$257.00
$207.00
$95.00
$73.00
$146.00
$137.00
$61.00
$78.00
$88.00
—
—
$92.00
6.19%
4.68%
2.05%
3.68%
2.73%
4.73%
3.29%
3.71%
0.86%
1.49%
1.79%
2.62%
1.36%
2.38%
0.98%
—
—
1.66%
Cost Basis
Cost Basis
Purchase Cost
Purchase Cost
$1,655.56$1,655.56
$4,546.59
$4,546.59
$1,568.16$1,568.16
$8,807.28$8,807.28
$5,419.81$5,419.81
$7,961.30$7,961.30
$5,010.22$5,010.22
$4,967.03$4,967.03
$3,380.83$3,380.83
$8,059.01$8,059.01
$5,390.21
$5,390.21
$3,019.15
$3,019.15
$2,715.22$2,715.22
$5,770.06$5,770.06
$10,600.54$10,600.54
$7,975.10$7,975.10
$4,402.85$4,402.85
$2,233.22$2,233.22
Quantity Price Market Value
169.495
225.414
55.471
680.009
256.256
906.276
367.585
119.000
288.594
232.048
365.339
277.528
47.001
526.427
258.752
229.387
254.942
337.258
$10.18
$19.56
$28.93
$13.05
$22.04
$8.82
$13.62
$44.18
$11.85
$38.93
$15.26
$9.77
$57.45
$10.85
$43.27
$35.88
$17.86
$6.76
$1,725.45
$4,409.09
$1,604.77
$8,874.11
$5,647.88
$7,993.35
$5,006.50
$5,257.42
$3,419.83
$9,033.62
$5,575.07
$2,711.44
$2,700.20
$5,711.73
$11,196.19
$8,230.40
$4,553.26
$2,279.86
4 Deposit Cash Account (DCA) is a bank deposit sweep program with an extra level of protection. Please see disclosures for more info.
5 Purchase Cost equals Cost Basis of Equities and Mutual Funds less any reinvested dividends and interest.
C Indicates dividends and/or capital gains distributed by this security will be distributed as cash.
R Indicates dividends and/or capital gains distributed by this security will be reinvested.
Description Interest (YTD) Blended Interest Rate Current Balance
Interest(Since last statement)08/01 – 09/30/2016
1
2
3
The example provided is merely an illustration and does not represent an actual statement or account.
982884.indd 5 11/15/17 8:24 PM
In the Account Activity section, the transactions and other activities that have occurred in your account during the month are summarized by type.
Activity Summary Displays activity information for the investment accounts including year to date, current quarter, and since last statement.
Account Activity Summarizes the account activity since the last statement.
Realized Gain/Loss Year-to-date Displays when you have liquidated positions from your account (if cost basis has been activated). Total for cost basis, proceeds, short-term gain/loss, and long-term gain/loss are displayed for you if available.
1
2
3
Page 5 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
0123-18142
Account ActivityAugust 1 – September 30, 2016 (Since last statement)
—
—
Date QuantityPriceTransaction Type AmountDescription/Security ID
09/30/2016
09/30/2016
09/30/2016
09/30/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
—
—
—
0.584
—
2.678
—
—
—
—
1.559
—
—
—
—
—
——
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
1.559
1.595
0.76
3.224
2.029
0.278
—
Sweep (Interest Deposit)
Sweep (Deposit)
Interest
Dividend Reinvest
Cash Dividend
Cash Dividend
Sweep (Deposit)
Cash Dividend
Cash Dividend
Cash Dividend
Cash Dividend
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Sweep (Withdrawal)
Fee
Dividend Reinvest
Cash Dividend
Cash Dividend
Cash Dividend
Cash Dividend
Cash Dividend
Dividend Reinvest
$3.39
$13.72
$3.39
-6.91
$13.72
($23.73)
$11.32
$11.32
$5.78
$17.02
($17.02)
$17.02
$9.09
$11.06
$21.49
$3.79
$23.73
($196.64)
($202.42)
($17.02)
($24.55)
($9.09)
($11.06)
($21.49)
($3.79)
$24.55
DEPOSIT CASH ACCOUNT
DEPOSIT CASH ACCOUNT
DEPOSIT CASH ACCOUNT 103116 15,996
JPMORGAN 0.584 -6.91 CORE BOND SELECT CL REINVEST AT 11.840 WOBDX
JPMORGAN 6.91 CORE BOND SELECT CL 102816 288.01000 WOBDX
DELAWARE 23.73 DIVERSIFIED INCOME INSTL CL 102116 903.59800 DPFFX AS OF 10/21/16
DEPOSIT CASH ACCOUNT
SPDR BLACKSTONE GSO SR LN ETF 101116 71 SRLN
VANGUARD TOTAL BOND MARKET ETF 100716 36 BND
DOUBLELINE TOTAL RETURN BOND CL I 093016 524.86800 DBLTX AS OF 09/30
DOUBLELINE TOTAL RETURN BOND CL I 093016 524.86800 DBLTXAS OF 09/30/16
DOUBLELINE TOTAL RETURN BOND CL I 093016 524.86800 DBLTXAS OF 09/30/16
WESTERN ASSET CORE PLUS BOND CL I REINVEST AT 11.960 WACPX
SUNAMERICA INCOME FLEXIBLE CREDIT CL W REINVEST AT 3.430 NWX
PIMCO INVESTMENT GRADE CORP BOND CL P REINVEST AT 10.590 PBDPX
INTERMEDIATE BOND FUND OF AMERICA CL F2 REINVEST AT 13.640IBAFX
DELAWARE DIVERSIFIED INCOME INSTL CL REINVEST AT 8.860 DPFFX
DEPOSIT CASH ACCOUNT
ADVISORY FEE
DOUBLELINE TOTAL RETURN BOND CL I REINVEST AT 10.920 DBLTX
AMERICAN BEACON BALANCED INSTL CL REINVEST AT 15.390 AADBX
WESTERN ASSET CORE PLUS BOND CL I 093016 289.45900 WACPXAS OF 09/30/16
SUNAMERICA INCOME FLEXIBLE CREDIT CL W 093016 825.25900 SHNWXAS OF 09/30/16
PIMCO INVESTMENT GRADE CORP BOND CL P 093016 634.83400 PBDPXAS OF 09/30/16
INTERMEDIATE BOND FUND OF AMERICA CL F2 100316 367.30700 IBAFX
AMERICAN BEACON BALANCED INSTL CL 100416 363.74400 AADBX
Account Activity continued on next page...
Susan's Investment Account
Page 5 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
0123-18142
Account ActivityAugust 1 – September 30, 2016 (Since last statement)
—
—
Date QuantityPriceTransaction Type AmountDescription/Security ID
09/30/2016
09/30/2016
09/30/2016
09/30/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
—
—
—
0.584
—
2.678
—
—
—
—
1.559
—
—
—
—
—
——
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
1.559
1.595
0.76
3.224
2.029
0.278
—
Sweep (Interest Deposit)
Sweep (Deposit)
Interest
Dividend Reinvest
Cash Dividend
Cash Dividend
Sweep (Deposit)
Cash Dividend
Cash Dividend
Cash Dividend
Cash Dividend
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Sweep (Withdrawal)
Fee
Dividend Reinvest
Cash Dividend
Cash Dividend
Cash Dividend
Cash Dividend
Cash Dividend
Dividend Reinvest
$3.39
$13.72
$3.39
-6.91
$13.72
($23.73)
$11.32
$11.32
$5.78
$17.02
($17.02)
$17.02
$9.09
$11.06
$21.49
$3.79
$23.73
($196.64)
($202.42)
($17.02)
($24.55)
($9.09)
($11.06)
($21.49)
($3.79)
$24.55
DEPOSIT CASH ACCOUNT
DEPOSIT CASH ACCOUNT
DEPOSIT CASH ACCOUNT 103116 15,996
JPMORGAN 0.584 -6.91 CORE BOND SELECT CL REINVEST AT 11.840 WOBDX
JPMORGAN 6.91 CORE BOND SELECT CL 102816 288.01000 WOBDX
DELAWARE 23.73 DIVERSIFIED INCOME INSTL CL 102116 903.59800 DPFFX AS OF 10/21/16
DEPOSIT CASH ACCOUNT
SPDR BLACKSTONE GSO SR LN ETF 101116 71 SRLN
VANGUARD TOTAL BOND MARKET ETF 100716 36 BND
DOUBLELINE TOTAL RETURN BOND CL I 093016 524.86800 DBLTX AS OF 09/30
DOUBLELINE TOTAL RETURN BOND CL I 093016 524.86800 DBLTXAS OF 09/30/16
DOUBLELINE TOTAL RETURN BOND CL I 093016 524.86800 DBLTXAS OF 09/30/16
WESTERN ASSET CORE PLUS BOND CL I REINVEST AT 11.960 WACPX
SUNAMERICA INCOME FLEXIBLE CREDIT CL W REINVEST AT 3.430 NWX
PIMCO INVESTMENT GRADE CORP BOND CL P REINVEST AT 10.590 PBDPX
INTERMEDIATE BOND FUND OF AMERICA CL F2 REINVEST AT 13.640IBAFX
DELAWARE DIVERSIFIED INCOME INSTL CL REINVEST AT 8.860 DPFFX
DEPOSIT CASH ACCOUNT
ADVISORY FEE
DOUBLELINE TOTAL RETURN BOND CL I REINVEST AT 10.920 DBLTX
AMERICAN BEACON BALANCED INSTL CL REINVEST AT 15.390 AADBX
WESTERN ASSET CORE PLUS BOND CL I 093016 289.45900 WACPXAS OF 09/30/16
SUNAMERICA INCOME FLEXIBLE CREDIT CL W 093016 825.25900 SHNWXAS OF 09/30/16
PIMCO INVESTMENT GRADE CORP BOND CL P 093016 634.83400 PBDPXAS OF 09/30/16
INTERMEDIATE BOND FUND OF AMERICA CL F2 100316 367.30700 IBAFX
AMERICAN BEACON BALANCED INSTL CL 100416 363.74400 AADBX
Account Activity continued on next page...
Susan's Investment Account
Page 4 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
Account Holdings ContinuedAs of September 30, 2016
0123-18142
Security ID / Description
Total of Mutual Funds, ETF's, and Closed-End Funds
PBDPX PIMCO INVESTMENT GRADE CORP BOND CL P R
SMCFX SMALLCAP WORLD CL F2 R
SHNWX SUNAMERICA INCOME FLEXIBLE CREDIT CL R
BND VANGUARD TOTAL BOND MARKET ETF
WACPX WESTERN ASSET CORE PLUS BOND CL I R
SH PROSHARES SHORT S&P 500 NEW ETF
SRLN SPDR BLACKSTONE GSO SR LN ETF SRLN
PRWCX T ROWE PRICE CAP APPREC R
WMFFX WASHINGTON MUTUAL INVESTORS CL F2 R
DGRW WISDOMTREE TRUST US DIV GRWTH FUND R
Estimated30-Day Yield
Mutual Funds, ETF's, and Closed-End Funds Continued
Total Account Holdings
$3,209.00
$3,394.00$161,797.51
$161,797.51$167,081.67
$4,707.4
$4,851.34
Market Value
EstimatedAnnual Income
EstimatedAnnual Income
$277.12
$285.96
$144.36
$44.32
$69.60
($262.96)
$80.94
$727.71
$138.04
$1,283.06
$6,403.57$6,403.57
$4,166.70
$4,166.70
$2,689.05
$2,689.05
$2,950.52
$2,950.52
$3,375.29
$3,375.29
$2,238.19$2,238.19
$3,278.07
$3,278.07
$7,537.16
$7,537.16
$5,872.13
$5,872.13
$11,096.30
$11,096.30
$148,325.30 $143,089.12$143,089.12
Quantity Price Market Value
636.863
96.608
828.483
36.000
290.219
51.000
71.000
309.662
149.544
392.000
$10.49
$46.09
$3.42
$83.19
$11.87
$38.73
$47.31
$26.69
$40.19
$31.58
$6,680.69
$4,452.66
$2,833.41
$2,994.84
$3,444.89
$1,975.23
$3,359.01
$8,264.87
$6,010.17
$12,379.36
Susan's Investment Account
UnrealizedGain / Loss
UnrealizedGain / Loss
$251.00
$135.00
$115.00
$117.00
$72.00
$123.00
$106.00
$292.00
3.83%
4.04%
4.21%
1.42%
2.43%
2.08%
3.26%
2.37%
—
—
—
—
R Indicates dividends and/or capital gains distributed by this security will be reinvested.
Cost BasisPurchase Cost
Cost BasisPurchase Cost
Activity Summary
Securities Purchased
Securities Sold
Contribitions / Inflows
Distributions / Outflows
Fees / Expenses
Dividends & Interest
$266,378.92
$448,451.32
$0.00 $0.00
($4,533.12) ($4,533.12)
($202.42) ($202.42)
$175.15 $175.15
3rd Quarter07/01 – 09/30/2016
$0.00 $0.00
$0.00 $0.00
$0.00
($193,765.10)
($4,055.77)
$4,132.31
Year to Date01/01 – 09/30/2016
Since last statement08/01 – 09/30/2016
1
3
2
Page 6 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
0123-18142
Account Activity ContinuedAugust 1 – September 30, 2016 (Since last statement)
Date QuantityPriceTransaction Type AmountDescription/Security ID
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
—
——
—
—
—
—
—
—
—
—
—
225.414
1.283
0.829
0.702
—
-225.414
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Cash Dividend
Cash Dividend
Cash Dividend
Name Chg
Sweep (Deposit)
Name Chg
$8.65
$10.89
$7.15
—
($8.65)
($10.89)
($7.15)
$66.22
—
CREDIT SUISSE FLOATING RATE HIGH INCOME INSTL CL REINVEST AT 6.740 CSHIX
BOND FUND OF AMERICA CL F2 REINVEST AT 13.130 ABNFX
AMERICAN HIGH INCOME CL F2 REINVEST AT 10.180 AHIFX
CREDIT SUISSE FLOATING RATE HIGH INCOME INSTL CL 093016 335.97500 CSHIX AS OF 09/30/16
BOND FUND OF AMERICA CL F2 100316 679.18000 ABNFX
AMERICAN HIGH INCOME CL F2 100316 168.79300 AHIFX
AMG MANAGERS MONTAG CALDWELL GROWTH CL N MCGFX
Deposit Cash Account
ASTON MONTAG & CALDWELL GROWTH CL N 00078H299
Susan's Investment Account
Description
AMERICAN BEACON BALANCED INSTL CL
ALLIANZGI TECHNOLOGY CL P
ASTON MONTAG & CALDWELL GROWTH CL N
BOND FUND OF AMERICA CL F2
COLUMBIA CONTRARIAN CORE CL Z
DELAWARE DIVERSIFIED INCOME INSTL CL
CREDIT SUISSE X-LINKS CUSHING MLP INFRA ETN
AQR MANAGED FUTURES STRATEGY CL I
AMERICAN HIGH INCOME CL F2
BLACKROCK STRATEGIC INCOME OPPTYS INSTL CL
CAPITAL INCOME BUILDER CL F2
DAVIS NY VENTURE CL Y
CREDIT SUISSE FLOATING RATE HIGH INCOME INSTL CL
Symbol/Cusip Quantity Cost Basis Proceeds
AADBX
ARTPX
AMCMX
ABNFX
SMGIX
DPFFX
MLPN
AQMIX
AHIFX
BSIIX
CAIFX
DNVYX
CSHIX
-605.802
-115.259
-1,201.233
-760.768
-308.588
-2,008.840
-303.000
-584.398
-193.796
-1,094.543
-54.694
-676.422
-374.261
$9,482.49
$5,797.53
$31,325.78
$9,851.96
$6,526.64
$17,657.71
$6,216.55
$9,152.94
$6,013.06
$23,583.86
$9,985.07
$6,867.91
$17,769.41
$6,103.14
—
—
—
—
—
—
—
($329.55)
$215.53
($7,741.92)
$133.11
$341.27
$111.70
($113.41)
$6,451.76
$1,891.45
$10,908.75
$3,160.21
$3,160.21
$2,477.61
$5,988.10
$1,941.84
$10,540.45
$3,255.39
$3,255.39
$2,503.81
—
—
—
—
—
—
($463.66)
$50.39
($368.30)
$95.18
($95.18)
$26.20
Long-TermGain / Loss
Short-TermGain / Loss
Realized Gain/Loss Year-to-dateJanuary 1 – September 30, 2016
Realized Gain/Loss continued on next page...
Page 6 of 10Advisory Services Offered Through Appleseed Investments
Securities Offered Through LPL Financial Member FINRA/SIPC4707 Executive Drive, San Diego, CA 92121-3091
0123-18142
Account Activity ContinuedAugust 1 – September 30, 2016 (Since last statement)
Date QuantityPriceTransaction Type AmountDescription/Security ID
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
09/12/2016
—
——
—
—
—
—
—
—
—
—
—
225.414
1.283
0.829
0.702
—
-225.414
Dividend Reinvest
Dividend Reinvest
Dividend Reinvest
Cash Dividend
Cash Dividend
Cash Dividend
Name Chg
Sweep (Deposit)
Name Chg
$8.65
$10.89
$7.15
—
($8.65)
($10.89)
($7.15)
$66.22
—
CREDIT SUISSE FLOATING RATE HIGH INCOME INSTL CL REINVEST AT 6.740 CSHIX
BOND FUND OF AMERICA CL F2 REINVEST AT 13.130 ABNFX
AMERICAN HIGH INCOME CL F2 REINVEST AT 10.180 AHIFX
CREDIT SUISSE FLOATING RATE HIGH INCOME INSTL CL 093016 335.97500 CSHIX AS OF 09/30/16
BOND FUND OF AMERICA CL F2 100316 679.18000 ABNFX
AMERICAN HIGH INCOME CL F2 100316 168.79300 AHIFX
AMG MANAGERS MONTAG CALDWELL GROWTH CL N MCGFX
Deposit Cash Account
ASTON MONTAG & CALDWELL GROWTH CL N 00078H299
Susan's Investment Account
Description
AMERICAN BEACON BALANCED INSTL CL
ALLIANZGI TECHNOLOGY CL P
ASTON MONTAG & CALDWELL GROWTH CL N
BOND FUND OF AMERICA CL F2
COLUMBIA CONTRARIAN CORE CL Z
DELAWARE DIVERSIFIED INCOME INSTL CL
CREDIT SUISSE X-LINKS CUSHING MLP INFRA ETN
AQR MANAGED FUTURES STRATEGY CL I
AMERICAN HIGH INCOME CL F2
BLACKROCK STRATEGIC INCOME OPPTYS INSTL CL
CAPITAL INCOME BUILDER CL F2
DAVIS NY VENTURE CL Y
CREDIT SUISSE FLOATING RATE HIGH INCOME INSTL CL
Symbol/Cusip Quantity Cost Basis Proceeds
AADBX
ARTPX
AMCMX
ABNFX
SMGIX
DPFFX
MLPN
AQMIX
AHIFX
BSIIX
CAIFX
DNVYX
CSHIX
-605.802
-115.259
-1,201.233
-760.768
-308.588
-2,008.840
-303.000
-584.398
-193.796
-1,094.543
-54.694
-676.422
-374.261
$9,482.49
$5,797.53
$31,325.78
$9,851.96
$6,526.64
$17,657.71
$6,216.55
$9,152.94
$6,013.06
$23,583.86
$9,985.07
$6,867.91
$17,769.41
$6,103.14
—
—
—
—
—
—
—
($329.55)
$215.53
($7,741.92)
$133.11
$341.27
$111.70
($113.41)
$6,451.76
$1,891.45
$10,908.75
$3,160.21
$3,160.21
$2,477.61
$5,988.10
$1,941.84
$10,540.45
$3,255.39
$3,255.39
$2,503.81
—
—
—
—
—
—
($463.66)
$50.39
($368.30)
$95.18
($95.18)
$26.20
Long-TermGain / Loss
Short-TermGain / Loss
Realized Gain/Loss Year-to-dateJanuary 1 – September 30, 2016
Realized Gain/Loss continued on next page... The example provided is merely an illustration and does not represent an actual statement or account.
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When you work with a financial advisor backed by the resources of LPL Financial, you can expect:
n Your needs to come first—Your financial advisor will engage you in an ongoing conversation about your needs, goals, and objectives to create the financial plan that is right for you.
n Objective guidance and advice—With access to independent research, your financial advisor can help you make informed, objective decisions.
n Investment choice and flexibility—LPL Financial does not offer any proprietary products, so your advisor can help you choose objective investment solutions from many of the nation’s leading investment managers.
982884.indd 7 11/15/17 8:24 PM
This was prepared by LPL Financial.
To the extent you are receiving investment advice from a separately registered independent investment advisor,
please note that LPL Financial is not an affiliate of and makes no representation with respect to such entity.
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Member FINRA/SIPC www.lpl.com
982884.indd 8 11/15/17 8:24 PM
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