Financial Advisor | Financial Planners

Financial Planning

480-836-2326

  • Home
  • About Susan Linkous
    • Mission Statement
    • Susan’s Corner
    • Industry Awards
  • Services
  • Blog
  • Financial Reviews
  • Legal Docs
  • Contact Us
  • Account Login
You are here: Home / Blog / What’s In Writing – “Susan On Money” for the Week of 12/14/2011

What’s In Writing – “Susan On Money” for the Week of 12/14/2011

December 14 By Linkous Group

Hi Everyone,

The financial services sector generates many written documents. Even though we live in the age of technology, many of these things just keep getting mailed out due to one regulation or the other. This week is dedicated to helping you understand what some of them are.

~Susan
What’s In Writing

Clients have the ability to go “paperless” when it comes to monthly statements and a few other items but many documents are going to arrive in the mail. Here’s a list of the ones that generate the most questions and calls for assistance:

Investment Advisor Brochures / Form ADV – Required by the Securities and Exchange Commission, investors are to receive background information on their advisors. For my clients, this includes the one covering LPL Financial and another supplement that speaks directly about me. These forms are summations and intended to give you a general idea about who you are dealing with. These mailings are not indicative of any problem or issue concerning LPL Financial, Susan R. Linkous or The Linkous Group, Ltd.

Proxies – A written authorization empowering another person to vote or act for the signer, as at a meeting of stockholders. I recommend only responding if you are well-informed on the matter at hand. Guidance with these proxy mailings is a fundamental part of my job and clients can always ask. If not interested in learning more, simply ignore and allow the default option to kick in.

IRS Form 1099 – LPL Financial has until February 15th to mail these out to investors. Data is subject to revision and sometimes there are errors due to the volume of data that has to be collected from a vast number of sources. I strongly encourage you to allow me to review prior to the completion of your tax returns.

What To Keep & Technology
My clients vary greatly in their record keeping styles. Many keep monthly files January – December and simply purge each month as it rolls around again.

A few keep everything forever.

I keep all IRS forms and shred the rest because I’m confident of my ability to access online.

LPL Financial does an excellent job in providing me with technology that can help you decide which record keeping style will work best for you. I wish all the written documents were easier to read and concise but many in the investment world are not. Don’t let it bug you. Let me know how I can help.

Until next week,

Susan R. Linkous

Securities offered through LPL Financial
Member FINRA and SIPC

Filed Under: Blog

Search

Contact Us

    Your Name (required)

    Your Email (required)

    Your Phone

    Your Message

    captcha

    Verification (type 4 digit code shown above)

    Blog Archives

    • May 2022
    • April 2022
    • March 2022
    • January 2022
    • November 2021
    • March 2021
    • December 2020
    • March 2020
    • February 2020
    • January 2020
    • February 2019
    • October 2017
    • May 2017
    • March 2017
    • December 2016
    • October 2016
    • June 2016
    • May 2016
    • March 2016
    • January 2016
    • December 2015
    • November 2015
    • September 2015
    • July 2015
    • June 2015
    • May 2015
    • April 2015
    • March 2015
    • February 2015
    • January 2015
    • December 2014
    • November 2014
    • September 2014
    • August 2014
    • July 2014
    • June 2014
    • May 2014
    • April 2014
    • March 2014
    • February 2014
    • January 2014
    • December 2013
    • November 2013
    • October 2013
    • September 2013
    • August 2013
    • July 2013
    • June 2013
    • May 2013
    • April 2013
    • March 2013
    • February 2013
    • January 2013
    • December 2012
    • November 2012
    • October 2012
    • September 2012
    • August 2012
    • July 2012
    • June 2012
    • May 2012
    • April 2012
    • March 2012
    • February 2012
    • January 2012
    • December 2011
    • November 2011
    • October 2011
    • September 2011
    • August 2011
    • July 2011
    • June 2011
    • May 2011
    • April 2011
    • March 2011
    • February 2011
    • January 2011
    • December 2010
    • November 2010
    • October 2010

    Copyright © 2022

    The Linkous Group, Ltd. is a Registered Investment Advisor. Advisory services are only offered to clients or prospective clients where The Linkous Group, Ltd. and its representatives are properly licensed or exempt from licensure. This website is solely for informational purposes. Past performance is no guarantee of future returns. Investing involves risk and possible loss of principal capital. No advice may be rendered by The Linkous Group, Ltd. unless a client service agreement is in place.

    Check out your broker with BrokerCheck ,  Susan Linkous, CRD #2938653 brokercheck_logo-new