Statements: Our firm, its clearing broker National Financial Services, and other issuers holding your investments (mutual fund or annuity companies), issue statements at least quarterly to active accounts. Accounts having taxable event activity will receive 1099s as soon as practicable. Activity that results in a statement includes; cash deposits or withdrawals, securities purchases, sales, dividends, interest or exchanges, and any other movements such as customer requested journals. Your positions are not normally maintained by SBG; once a new investment has been made, it will typically be kept on the books of our counterparties.
Records Retention: You should keep all statements and confirms sent to you for income tax purposes. Please contact our office if you need a replacement statement. We may not be able to produce statements containing cost basis information if you did not originally purchase your investment through our firm, or your account has been closed for over seven years.
FINRA Investor Education: If you would like to receive information concerning investor information, please visit the FINRA website, www.FINRA.org.
Complaints: If at any time you believe you need to inform our firm about an unsatisfactory situation, please call 478-474-7004 and speak to the Compliance Manager or direct your correspondence to: Smith, Brown & Groover, Inc., Attn: Compliance Manager, 4001 Vineville Avenue, Macon, GA 31210-5039. Please include a return address and a daytime phone number. A supervising principal will investigate and respond to your letter as quickly as practicable.