A GUIDE TO YOUR STATEMENTS - Investra Financial Services · Your quarterly statements from LPL...

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




($184,397.71)



Your Portfolio




AC 02 000020 09278 H 1 B**C001

5 Accounts


($29,119.31)

($185,344.75)

($1,873.89)

$31,940.24

$0.00



Total


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



Will's IRA Account


Starting Value


Market Fluctuation



Fees / Expenses




$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)



$1,741,064.89$1,895,321.42 $1,710,923.71






($184,397.71)



Your Portfolio




AC 02 000020 09278 H 1 B**C001

5 Accounts


($29,119.31)

($185,344.75)

($1,873.89)

$31,940.24

$0.00



Total


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



Will's IRA Account


Starting Value


Market Fluctuation



Fees / Expenses




$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)



$1,741,064.89$1,895,321.42 $1,710,923.71



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



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

of 10Advisory Services Offered Through Appleseed Investments


`

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


2 OF 5 ACCOUNTS

2

Starting Value

Ending Value (September 30, 2016)

Contribitions / Inflows


Market Fluctuation

Fees / Expenses



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


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




$2,756.16

—

1.65%

—

Stocks / Options

Fixed Income

3.

4.

1

23

Mutual Funds

CashStocks


Realized

Unrealized

A copy of this statement was sent to James Worthy.


$161,789.77$352,426.42 $161,081.67



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).



`

0123-1814


AC 02 000020 09278 H 1 B**C001


2 OF 5 ACCOUNTS

2

Starting Value




Market Fluctuation

Fees / Expenses



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



Growth with Income



$0.00

$4,851.34

($18,010.80)

$0.00$0.00

Short Term

Long Term




07/01 – 09/30/2016




$2,756.16

—

1.65%

—

Stocks / Options

Fixed Income

3.

4.

1

23

Mutual Funds

CashStocks


Realized

Unrealized



$161,789.77$352,426.42 $161,081.67



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.



`

0123-1814


AC 02 000020 09278 H 1 B**C001


2 OF 5 ACCOUNTS

2

Starting Value




Market Fluctuation

Fees / Expenses



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



Growth with Income



$0.00

$4,851.34

($18,010.80)

$0.00$0.00

Short Term

Long Term




07/01 – 09/30/2016




$2,756.16

—

1.65%

—

Stocks / Options

Fixed Income

3.

4.

1

23

Mutual Funds

CashStocks


Realized

Unrealized



$161,789.77$352,426.42 $161,081.67



4

5

6



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



0123-1814


AC 02 000020 09278 H 1 B**C001

Susan's MWP IRA Account

3 OF 5 ACCOUNTS

3Appleseed Investments


Growth with Income



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.

.



`

Starting Value




Market Fluctuation

Fees / Expenses



$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


$162,328.6729.76%Undefined 51.


$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


$539,786.23$516,444.68 $545,563.99



6

5


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.



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


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


$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


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

23



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



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




$47.98 $185.00 6.72%

$2,708.18$2,708.18

$2,708.18$2,708.18

$2,756.16


132.000 $20.88 $2,756.16

Stocks & Options

Mutual Funds, ETF's, and Closed-End FundsEstimated

Annual IncomeUnrealized

Gain / 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


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.


Description Interest (YTD) Blended Interest Rate Current Balance

Interest(Since last statement)08/01 – 09/30/2016

1

2

3


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.

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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 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


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


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


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...




0123-18142

Account ActivityAugust 1 – September 30, 2016 (Since last statement)

—

—


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 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


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



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


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...




Account Holdings ContinuedAs of September 30, 2016

0123-18142


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


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



$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


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




$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%

—

—

—

—


Cost BasisPurchase Cost

Cost BasisPurchase Cost

Activity Summary

Securities Purchased

Securities Sold



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

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of 10Advisory Services Offered Through Appleseed Investments


0123-18142

Account Activity ContinuedAugust 1 – September 30, 2016 (Since last statement)


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


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...



0123-18142

Account Activity ContinuedAugust 1 – September 30, 2016 (Since last statement)


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


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.

982884.indd 6 11/15/17 8:24 PM

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

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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.

OP-03318-1017 Tracking #1-656707 (Exp. 10/19)

Not FDIC/NCUA Insured Not Bank/Credit Union Guaranteed May Lose Value Not Insured by any Federal Government Agency Not a Bank Deposit

Member FINRA/SIPC www.lpl.com

982884.indd 8 11/15/17 8:24 PM

A GUIDE TO YOUR STATEMENTS - Investra Financial Services · Your quarterly statements from LPL...

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