How To Read Your Statement Brochure
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How To Read Your Statement Brochure

How To Read Your Statement Brochure

How To Read Your Statement Brochure

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Asset Allocation Valuation at a Glance Purchasing Power Summary Customer Service Information Portfolio Holdings Transactions<br />

Accrued Interest Summary Money Market Fund Detail Schedule of Realized Gains and Losses Year-to-Date Open Orders Securities<br />

Cash Not Yet Received Fixed Income Bond Maturity Schedule Bond Quality Annuities Financing Holdings Retirement Account<br />

Asset Allocation Valuation at a Glance Purchasing Power Summary Customer Service Information Portfolio Holdings Transactions<br />

Accrued Interest Summary Money Market Fund Detail Schedule of Realized Gains and Losses Year-to-Date Open Orders Securities<br />

Cash Not Yet Received Fixed Income Bond Maturity Schedule Bond Quality Annuities Financing Holdings Retirement Account<br />

Asset Allocation Valuation at a Glance Purchasing Power Summary Customer Service Information Portfolio Holdings Transactions<br />

Accrued Interest Summary Money Market Fund Detail Schedule of Realized Gains and Losses Year-to-Date Open Orders Securities<br />

Cash Not Yet Received Fixed Income Bond Maturity Schedule Bond Quality Annuities Financing Holdings Retirement Account<br />

Asset Allocation Valuation at a Glance Purchasing Power Summary Customer Service Information Portfolio Holdings Transactions<br />

Accrued Interest Summary Money Market Fund Detail Schedule of Realized Gains and Losses Year-to-Date Open Orders Securities<br />

Cash Not Yet Received Fixed Income Bond Maturity Schedule Bond Quality Annuities Financing Holdings Retirement Account<br />

Asset Allocation Valuation at a Glance Purchasing Power Summary Customer Service Information Portfolio Holdings Transactions<br />

Accrued Interest Summary Money Market Fund Detail Schedule of Realized Gains and Losses Year-to-Date Open Orders Securities<br />

Cash Not Yet Received Fixed Income Bond Maturity Schedule Bond Quality Annuities Financing Holdings Retirement Account<br />

Asset Allocation Valuation at a Glance Purchasing Power Summary Customer Service Information Portfolio Holdings Transactions<br />

Accrued Interest Summary Money Market Fund Detail Schedule of Realized Gains and Losses Year-to-Date Open Orders Securities<br />

Cash Not Yet Received Fixed Income Bond Maturity Schedule Bond Quality Annuities Financing Holdings Retirement Account<br />

Asset Allocation Valuation at a Glance Purchasing Power Summary Customer Service Information Portfolio Holdings Transactions

INTRODUCTION<br />

<strong>Your</strong> brokerage account statement is a powerful<br />

tool that enables you to make informed investment<br />

decisions and helps you to effectively manage and<br />

maintain a balanced portfolio. Presenting information in<br />

easy-to-review sections, your brokerage account statement provides<br />

you with a concise, comprehensive picture of your financial status.<br />

At a glance, you can easily track your investments, monitor your<br />

account activity, evaluate your asset allocation, and view any changes<br />

that occur in your account value. In addition, you will receive an<br />

annual Form 1099 that summarizes your taxable financial activity<br />

for the year, making it simple to accurately report your investments<br />

at tax time.<br />

Please take a moment and review this brochure to familiarize yourself<br />

with the features and benefits your statement has to offer. <strong>Your</strong><br />

personal statement is customized to meet your specific financial<br />

reporting needs—including only the sections that are relevant to<br />

your account; therefore, your statement may not include all of the<br />

sections described in this brochure. The contents of this sample<br />

brokerage statement are designed to reflect a large number of<br />

potential situations. It is not intended to recommend any specific<br />

securities or asset allocation. If you have any questions or comments,<br />

please contact your investment professional or financial organization.<br />

CONTENTS<br />

ACCOUNT INFORMATION 3<br />

VALUATION AT A GLANCE 3<br />

ASSET ALLOCATION 3<br />

FOR YOUR INFORMATION 4<br />

CUSTOMER SERVICE INFORMATION 4<br />

PORTFOLIO HOLDINGS 5<br />

TRANSACTIONS 5<br />

INCOME SUMMARY 6<br />

ACCRUED INTEREST SUMMARY 6<br />

OPEN ORDERS 7<br />

CASH NOT YET RECEIVED 7<br />

SECURITIES NOT YET RECEIVED 7<br />

FIXED INCOME SECTIONS 8<br />

ANNUITY SECTIONS 9<br />

RETIREMENT ACCOUNT SECTION 10<br />

ASSET MANAGEMENT ACCOUNT SECTIONS 11<br />

PORTFOLIO EVALUATION SERVICE (PES ® ) SECTIONS 12<br />

CONSOLIDATED ACCOUNT SECTIONS 13<br />

MONEY MARKET FUND DETAIL 6

JOHN Q. PUBLIC<br />

1234 TOWNLINE STREET<br />

APT. #1234<br />

SOMEWHERE, MA 00000-0000<br />

<strong>Your</strong> Investment Professional:<br />

Investment Professional Name<br />

(999) 999-9999<br />

Asset Allocation<br />

Value Value Percent<br />

Last Period This Period Allocation<br />

Cash and Cash Equivalents 99,999,999,999.99 99,999,999,999.99 999%<br />

Fixed Income 99,999,999,999.99 99,999,999,999.99 999%<br />

Equities 99,999,999,999.99 99,999,999,999.99 999%<br />

Mutual Funds 99,999,999,999.99 99,999,999,999.99 999%<br />

Annuities 99,999,999,999.99 99,999,999,999.99 999%<br />

Other 99,999,999,999.99 99,999,999,999.99 999%<br />

Global Account Cash Balance 99,999,999,999.99 99,999,999,999.99 999%<br />

Global Account Securities 99,999,999,999.99 99,999,999,999.99 999%<br />

Account <strong>To</strong>tal $99,999,999,999.99 $99,999,999,999.99 100%<br />

Account Number: 999-999999<br />

<strong>Statement</strong> Period: 02/28/200X– 03/31/200X<br />

Valuation at a Glance<br />

This Period<br />

Beginning Account Value $99,999,999,999.99<br />

Cash Deposits 99,999,999,999.99<br />

Cash Withdrawals -99,999,999,999.99<br />

Dividends/Interest 99,999,999,999.99<br />

Fees -99,999,999,999.99<br />

Change in Account Value 99,999,999,999.99<br />

Ending Account Value $99,999,999,999.99<br />

Asset allocation percentages are<br />

rounded to the nearest whole<br />

percentage.<br />

Pie chart allocation excludes all<br />

asset classes which net to a liability.<br />

Account Information<br />

At the top of the first page of your statement, you will find information identifying your<br />

account. <strong>Your</strong> account number and the period covered by your statement appear on the top<br />

right. <strong>Your</strong> name and address, as well as your investment professional’s information, appear<br />

on the top left.<br />

Valuation at a Glance<br />

This section provides you with an explanation of the changes in the value of your account.<br />

It offers a high-level overview of account activity, including cash deposits, cash withdrawals,<br />

dividends and interest, fees, and change in account value, to help you identify the inflow and<br />

outflow of assets in your account. Beginning and ending account values for the current<br />

statement period are also provided.<br />

Asset Allocation<br />

This section provides a summary of your portfolio holdings, segregated by asset class. This<br />

information can be used to determine the approximate value of the various asset types held in<br />

your account as of the statement date. These asset classes are consolidated Portfolio Holdings<br />

summarized in one, easy-to-read section. For each asset class that you hold, the market value<br />

(based on prices as of the last day of the statement period) is displayed along with the percentage<br />

of the account that the asset class represents. These totals are added together to give you the net<br />

value of your portfolio. If two or more asset classes are held in your account, you may find a pie<br />

chart illustrating the allocations of each asset class by percentage. 1<br />

1 At least two asset classes must be equal to 2.5 percent or greater of the total account value for a pie chart to appear.<br />

3<br />

For <strong>Your</strong> Information<br />

This message area would be reserved for your financial organization. This message area would be<br />

reserved for your financial organization. This message area would be reserved for your financial<br />

organization. This message area would be reserved for your financial organization. This message area<br />

would be reserved for your financial organization. This message area would be reserved for your<br />

financial organization. This message area would be reserved for your financial organization. This<br />

message area would be reserved for your financial organization. This message area would be reserved<br />

for your financial organization. This message area would be reserved for your financial organization.<br />

Customer Service Information<br />

Investment Professional:<br />

Identification Number: 999<br />

Investment Professional Name<br />

Address<br />

Address<br />

Address<br />

Address<br />

Address<br />

Telephone Number: (999) 999-9999<br />

Fax Number: (999) 999-9999<br />

E-Mail Address:<br />

As you requested, copies of this statement have been sent to:<br />

Interested Party Information<br />

Interested Party Information<br />

Interested Party Information<br />

Interested Party Information<br />

Interested Party Information<br />

Interested Party Information<br />

Call your investment professional for additional information about other interested<br />

parties not listed above.<br />

This message area would be reserved for your financial organization. This message area would be<br />

reserved for your financial organization. This message area would be reserved for your financial<br />

organization. This message area would be reserved for your financial organization. This message area<br />

would be reserved for your financial organization. This message area would be reserved for your<br />

financial organization. This message area would be reserved for your financial organization. This<br />

message area would be reserved for your financial organization. This message area would be reserved<br />

for your financial organization. This message area would be reserved for your financial organization.<br />

Service Hours: Monday - Friday 8:00 a.m. - 5:00 p.m.(ET)<br />

Saturday 12:00 p.m. - 4:00 p.m.(ET)<br />

Customer Service Telephone Number: (999) 999-9999<br />

Web Site: www.yourwebsite.com<br />

<strong>To</strong> report a lost or stolen MasterCard ® or check call (800) 888-8888, 24 hours a day, 7 days a week.<br />

Date of Birth: 99/99/9999<br />

NOTE: Please verify the accuracy of your personal information. If incorrect, notify your financial<br />

organization.<br />

Prior Year-End Fair Market Value: -$99,999,999,999.99<br />

For <strong>Your</strong> Information<br />

Here you will find important messages and notices from your financial organization regarding<br />

your account. These messages may include industry related topics and regulatory announcements.<br />

In addition, you may find information regarding new products and services available to you.<br />

Customer Service Information<br />

This section provides specific contact information regarding your financial organization, as<br />

well as account-related details. <strong>Your</strong> investment professional’s name and address, interested<br />

party information, service hours, your financial organization’s web site address, and other<br />

information may appear here. For retirement products, your prior year-end fair market value<br />

is displayed at the end of this section.<br />

Account Number: 999–999999<br />

John Q. Public<br />

4

Portfolio Holdings<br />

United States (Dollar)<br />

Current Opening Closing Accrued Income 30-day<br />

Quantity Description Yield Balance Balance Income This Year Yield<br />

Cash and Cash Equivalents – 99.99% of Portfolio<br />

Cash Balance -99,999,999,999.99 -99,999,999,999.99<br />

Margin Balance -99,999,999,999.99 -99,999,999,999.99<br />

Short Account Balance -99,999,999,999.99 -99,999,999,999.99<br />

Money Market Funds<br />

-99,999,999,999.99 999.99% -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 999.99%<br />

<strong>To</strong>tal Money Market Funds -$99,999,999,999.99 -$99,999,999,999.99-$99,999,999,999.99-$99,999,999,999.99<br />

<strong>To</strong>tal Cash and Cash Equivalents -$99,999,999,999.99 -$99,999,999,999.99-$99,999,999,999.99-$99,999,999,999.99<br />

Transactions in Date Sequence<br />

Process/ Trade/<br />

Settlement Transaction<br />

Date Date Activity Type Description Quantity Price Accrued Interest Amount<br />

United States (Dollar)<br />

99/99/99 99/99/99 Funds Received Into <strong>Your</strong> Account ARGENTINIAN PESO 99,999,999,999.99<br />

99/99/99 99/99/99 Foreign Currency Exchange US DOLLAR -99,999,999,999.99 9,999,999.9999 -99,999,999,999.99<br />

Commission: 99,999,999,999.99 USD<br />

99/99/99 99/99/99 Money Market Fund Income Received DIVIDENDS 99,999,999,999.99<br />

99/99/99 99/99/99 Money Market Fund Income Reinvested REINVESTMENT OF DIVIDEND PAID -99,999,999,999.99<br />

99/99/99 99/99/99 Funds Received Into <strong>Your</strong> Account CANADIAN DOLLAR 99,999,999,999.99<br />

99/99/99 99/99/99 Foreign Currency Exchange US DOLLAR -99,999,999,999.99 9,999,999.9999 -99,999,999,999.99<br />

Commission: 99,999,999,999.99 USD<br />

<strong>To</strong>tal Transactions in United States Dollar $99,999,999,999.99-$99,999,999,999.99<br />

Portfolio Holdings<br />

This section provides comprehensive details regarding your portfolio’s holdings. Organized<br />

into subsections and by investment type, this section indicates the quantity, description, market<br />

price (if available), market value, dividend and capital gain options, and other information on<br />

each security position as of the close of business on the last day of the statement period. In<br />

addition, the subsections display the opening and closing cash, margin, short, and money<br />

market fund balances.<br />

Transactions<br />

This section provides a detailed list of transactions that were posted to your account since<br />

the last statement period. Transactions can be displayed in any one of three ways: by date, by<br />

security identification, or by transaction type. The process/settlement date is the date on<br />

which a transaction was posted to your account. The date that you initiated either the sale or<br />

the purchase of a security also appears in this section.<br />

Account Number: 999–999999<br />

John Q. Public<br />

5<br />

Income Summary<br />

Current Period<br />

Year-to-Date<br />

Taxable Non Taxable Taxable Non Taxable<br />

Dividends and Interest<br />

Corporate Bond Interest -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Municipal Bond Interest -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Cash Dividends on Equities -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Money Fund Income -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Other Dividends and Interest -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

<strong>To</strong>tal Dividends and Interest -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99<br />

Distributions<br />

Principal Distributions -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Short Term Capital Gain Distributions - Current Year -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Other Distributions -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

<strong>To</strong>tal Distributions -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99<br />

Accrued Interest Summary<br />

Current Period<br />

Year-to-Date<br />

Taxable Non Taxable Taxable Non Taxable<br />

Accrued Interest Paid<br />

Corporate Bond 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

Municipal Bond 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

U.S. Treasury Bond 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

<strong>To</strong>tal Accrued Interest Paid 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

Accrued Interest Received<br />

Corporate Bond 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

Municipal Bond 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

U.S. Treasury Bond 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

<strong>To</strong>tal Accrued Interest Received 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

Money Market Fund Detail<br />

Date Activity type Description Amount Share Balance<br />

Income Summary<br />

A summary of dividend, interest, or distribution income posted during the current statement<br />

period, and the year-to-date total for each type of income appears in this section. For your<br />

convenience, the income is categorized as taxable or nontaxable and summarized by the type<br />

of income. For retirement accounts, the income is tax deferred.<br />

Accrued Interest Summary<br />

This section provides the sum of the accrued interest paid or received when you purchased<br />

or sold fixed income securities during the current statement period and year-to-date.<br />

Money Market Fund Detail<br />

This section provides information about balances and daily money market fund transactions<br />

in date sequence. Opening and closing balances and all purchases and redemptions of your<br />

money market funds appear here. If you hold more than one money market fund, each fund’s<br />

activity is listed separately.<br />

Sweep Money Market Fund<br />

ABC Money Market Fund<br />

Account Number: 999999999999999 Current Yield: 99.99% Activity Ending: 99/99/99<br />

99/99/99 Opening Balance 99,999,999,999.99<br />

99/99/99 Deposit SHARES PURCHASED BY WIRE 99,999,999,999.99 99,999,999,999.99<br />

99/99/99 Withdrawal SAME DAY WIRE REDEMPTION -99,999,999,999.99 99,999,999,999.99<br />

99/99/99 Deposit INCOME REINVEST 99,999,999,999.99 99,999,999,999.99<br />

99/99/99 Closing Balance $99,999,999,999.99<br />

Account Number: 999–999999<br />

John Q. Public<br />

6

Open Orders<br />

Date Entered Buy/Sell Type of Order Security Quantity Limit Price Current Price Special Instructions<br />

99/99/99 Buy Limit SCUDDER NEW ASIA FD 99,999,999,999.99 9,999,999.9999 9,999,999.9999 Next day settlement<br />

99/99/99 Buy Contingency ORACLE CORP FORMERLY ORACLE SYSTEMS CORP. 99,999,999,999.99 9,999,999.9999 9,999,999.9999 # days for settlement<br />

Type Order<br />

99/99/99 Sell Stop WXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWX -99,999,999,999.99 9,999,999.9999 9,999,999.9999 XWXWXWXWXWXWX<br />

WXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWX<br />

WXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWX<br />

99/99/99 Sell Stop Limit WXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWX -99,999,999,999.99 9,999,999.9999 9,999,999.9999 Price discretion<br />

Cash Not Yet Received<br />

Security Record Date Payable Date Quantity Held Rate Amount of Payment Dividend Option<br />

Dividends<br />

DISNEY WALT CO. 99/99/99 99/99/99 99,999,999,999.99 999.999999 99,999,999,999.99 <strong>To</strong> be reinvested<br />

FEDERAL NATL MTG ASSN 99/99/99 99/99/99 99,999,999,999.99 999.999999 99,999,999,999.99 <strong>To</strong> be reinvested<br />

Interest<br />

PHILADELPHIA ELEC CO 1ST & REF MTG 99/99/99 99/99/99 99,999,999,999.99 999.999999 99,999,999,999.99 <strong>To</strong> be reinvested<br />

7.750% 01/01/23 REG<br />

Distribution<br />

INSURED MUNICIPALS INCOME TR UNIT 99/99/99 99/99/99 99,999,999,999.99 999.999999 99,999,999,999.99 <strong>To</strong> be reinvested<br />

SER 168 MONTHLY<br />

<strong>To</strong>tal Cash Not Yet Received $99,999,999,999.99<br />

Securities Not Yet Received<br />

Security Ex-Dividend Date Distribution Date Quantity Held Rate Quantity of Payment Current Price Market Value<br />

Security Dividends and Stock Splits<br />

CIRCUS CIRCUS ENTERPRISES INC 99/99/99 99/99/99 99,999,999,999.99 999.999999 99,999,999,999.99 9,999,999.9999 -99,999,999,999.99<br />

AMERICAN INTL GROUP 99/99/99 99/99/99 99,999,999,999.99 999.999999 99,999,999,999.99 9,999,999.9999 -99,999,999,999.99<br />

ABC COMPANY 99/99/99 99/99/99 99,999,999,999.99 999.999999 99,999,999,999.99 9,999,999.9999 -99,999,999,999.99<br />

<strong>To</strong>tal Value of Securities Not Yet Received -$99,999,999,999.99<br />

Open Orders<br />

This section details open equity and option orders. These are orders that were not fully executed<br />

as of the close of business on the last day of the statement period. Limit and current price, as<br />

well as additional information for each security, are shown as of the statement date.<br />

Cash Not Yet Received<br />

This section details pending payments for dividends, interest, and other cash distributions<br />

not yet posted to your account. For instance, an entry displayed here could represent a<br />

dividend of record during the current statement period that is not payable until a future<br />

statement period. The record date, payable date, rate per share, and dividend option for<br />

each distribution also appear here.<br />

Securities Not Yet Received<br />

This section details pending stock distributions that are not yet posted to your account.<br />

For instance, an entry displayed here could represent a stock split or stock dividend of<br />

record during the current statement period that is not payable until a future statement<br />

period. The ex-dividend date, distribution date, rate per share, price, and market value<br />

for each stock distribution also appear here.<br />

Account Number: 999–999999<br />

John Q. Public<br />

7<br />

Bond Maturity Schedule<br />

Percentage of Bond<br />

Bond Maturity Market Value Market Value<br />

Within 1 month 99,999,999,999.99 999%<br />

1 to 6 months 99,999,999,999.99 999%<br />

7 to 12 months 99,999,999,999.99 999%<br />

1 to 5 years 99,999,999,999.99 999%<br />

6 to 10 years 99,999,999,999.99 999%<br />

Over 10 years 99,999,999,999.99 999%<br />

<strong>To</strong>tal $99,999,999,999.99 100%<br />

Bond Quality<br />

Percentage of Bond<br />

Bond Quality Market Value Market Value<br />

AAA 99,999,999,999.99 999%<br />

AA 99,999,999,999.99 999%<br />

A 99,999,999,999.99 999%<br />

BAA 99,999,999,999.99 999%<br />

BA/Lower 99,999,999,999.99 999%<br />

Not Rated 99,999,999,999.99 999%<br />

<strong>To</strong>tal $99,999,999,999.99 100%<br />

Bonds that are in default are not included. Please refer to your Portfolio Holdings section.<br />

Percentages of bond market values<br />

are rounded to the nearest whole<br />

percentage.<br />

Percentages of bond market values<br />

are rounded to the nearest whole<br />

percentage.<br />

FIXED INCOME SECTIONS<br />

Bond Maturity Schedule (With Pie Chart)<br />

This section provides numeric and graphic detail of the maturity schedule of your bond<br />

investments. Negative values are not included in the pie chart. 2<br />

Bond Quality (With Pie Chart)<br />

This section provides a breakdown of your fixed income securities as rated by Moody’s<br />

Investor Service. 2<br />

Called Bonds<br />

This section provides a list of bonds that have already been called—on a full or partial basis.<br />

Called Bonds<br />

Eligible Called Call Type Redemption<br />

Call Date Security Description Quantity Quantity Price of Call Proceeds<br />

99/99/9999 SEARIVER MARITIME FINL HLDGS INC GTD DEFB INT DEB 0.000% 9,999,999,999.999 9,999,999,999.999 9,999,999.9999 Full 99,999,999.999.99<br />

09/01/12 REG DTD 09/01/82 CALLABLE<br />

MOODY RATING AAA<br />

99/99/9999 SEARIVER MARITIME FINL HLDGS INC GTD DEFB INT DEB 0.000% 9,999,999,999.999 9,999,999,999.999 9,999,999.9999 Partial 99,999,999.999.99<br />

09/01/12 REG DTD 09/01/82 CALLABLE<br />

MOODY RATING AAA99/99/9999<br />

99/99/9999 SEARIVER MARITIME FINL HLDGS INC GTD DEFB INT DEB 0.000% 9,999,999,999.999 9,999,999,999.999 9,999,999.9999 Partial 99,999,999.999.99<br />

09/01/12 REG DTD 09/01/82 CALLABLE<br />

MOODY RATING AAA<br />

Account Number: 999–999999<br />

John Q. Public<br />

2 This section is available to account holders who have a minimum of five fixed income securities.<br />

8

Annuities<br />

Quantity Description Market Price Market Value % Allocation<br />

Variable Annuities<br />

ABC INSURANCE COMPANY<br />

ABC VARIABLE ANNUITY PRODUCT<br />

Contract Number: A009733008XXXXX Security Identification: PRO0000001<br />

99,999,999,999.99 GROWTH 9,999,999.9999 99,999,999,999.99 99.99%<br />

99,999,999,999.99 MONEY FUND II 9,999,999.9999 99,999,999,999.99 99.99%<br />

99,999,999,999.99 OTHER SUBACCOUNT 9,999,999.9999 99,999,999,999.99 99.99%<br />

<strong>To</strong>tal ABC VARIABLE ANNUITY PRODUCT Account Valuation as of 99/99/99 $99,999,999,999.99 100.00%<br />

<strong>To</strong>tal of All Variable Annuity $99,999,999,999.99<br />

Pending Annuities<br />

Transaction Date Activity Type Description Purchase Price Identification<br />

ABC VARIABLE ANNUITY PRODUCT<br />

99/99/99 XWXWXWXWXWXWXWXWXWXW XWXWXWXWXWXWXWXWXWXW 9,999,999.9999 XWXWXWXWX<br />

99/99/99 XWXWXWXWXWXWXWXWXWXW XWXWXWXWXWXWXWXWXWXW 9,999,999.9999<br />

99/99/99 XWXWXWXWXWXWXWXWXWXW XWXWXWXWXWXWXWXWXWXW 9,999,999.9999<br />

XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW<br />

XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW<br />

XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW<br />

<strong>To</strong>tal ABC VARIABLE ANNUITY PRODUCT $9,999,999.9999<br />

<strong>To</strong>tal of All Pending Annuities $9,999,999.9999<br />

ANNUITY SECTIONS<br />

Annuities<br />

This section details all of the fixed and variable annuities held in your account. A product<br />

description, contract number, valuation date, and the account value of each annuity are<br />

displayed here. <strong>Your</strong> subaccount investments are also displayed for variable annuities,<br />

including: quantity, description, market price, market value, and allocation percentage.<br />

Pending Annuities<br />

This section lists annuities purchased through your brokerage account that are awaiting<br />

acknowledgement by the appropriate annuity providers. The transaction date, annuity<br />

description, and purchase price appear in this section.<br />

Account Number: 999–999999<br />

John Q. Public<br />

9<br />

Tax Year - 2002 Tax Year - 2001<br />

Retirement Account Transactions<br />

This Period Year-to-Date This Period Year-to-Date<br />

Contributions<br />

Participant 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

Employer 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

Employer - Prior Year 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

Rollover 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

Roth Conversion 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

Recharacterization 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

<strong>To</strong>tal Contributions $99,999,999,999.99 $99,999,999,999.99 $99,999,999,999.99 $99,999,999,999.99<br />

Distributions<br />

Early -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Normal -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Disability -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Excess Contribution -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Education IRA -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Roth IRA -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Direct Rollover to IRA -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Direct Rollover to QRP -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

<strong>To</strong>tal Distributions -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99<br />

RETIREMENT ACCOUNT SECTION<br />

Retirement Account Transactions<br />

If you have a retirement account for which Pershing LLC serves as the Custodian or servicing<br />

agent, this section provides information for this period and year-to-date. Specific contribution<br />

and distribution transactions are displayed by type. <strong>To</strong>tal contributions and distributions, as<br />

well as federal and state taxes withheld, are displayed for the various retirement account types.<br />

For tax reporting requirements, the year-to-date totals are also featured along with the previous<br />

tax year’s activity.<br />

Federal Tax Withheld on Distributions<br />

Early -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Normal -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Disability -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Death -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

Roth IRA -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

<strong>To</strong>tal Federal Tax Withheld -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99<br />

State Tax Withheld on Distributions<br />

State Tax Withheld -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

<strong>To</strong>tal State Tax Withheld -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99<br />

<strong>To</strong>tal Tax Withheld on Distributions -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99<br />

Account Number: 999–999999<br />

John Q. Public<br />

10

Daily Transactions Summary<br />

Settlement/ Transaction<br />

Process Date Date Activity Type Description Quantity Price Amount Balance<br />

99/99/99 Combined Opening Balances $99,999,999,999.99<br />

99/99/99 Foreign Currency Exchange SOLD ARS @ 9,999,999.9999 99,999,999,999.99 99,999,999,999.99<br />

99/99/99 99/99/99 Purchased AMERICAN EXPRESS COMPANY 99,999,999,999.99 9,999,999.9999 -99,999,999,999.99 99,999,999,999.99<br />

Commission: 99,999,999,999.99 USD A DLJ CO MAKES A MKT<br />

IN THIS SEC & ACTED AS PRINCIPAL<br />

99/99/99 Money Market Fund Income Received ALLIANCE CAP RESERVE 99,999,999,999.99 99,999,999,999.99<br />

99/99/99 Cash Dividend Received 99,999,999,999 SHARES 99,999,999,999.99 99,999,999,999.99<br />

AMERICAN EXPRESS COMPANY<br />

RD 99/99 PD 99/99/99<br />

99/99/99 Activity Within <strong>Your</strong> Account AMERICAN EXPRESS COMPANY -99,999,999,999.99 99,999,999,999.99 99,999,999,999.99<br />

MOVED FROM CASH A/C<br />

INTO MARGIN A/C<br />

99/99/99 Asset Management Check CHECK NUMBER - 9999 -99,999,999,999.99 99,999,999,999.99<br />

99/99/99 MasterCard ® Transaction MASTERCARD TRANSACTION<br />

ATM WITHDRAWAL<br />

NEW YORK NY GREENPOINT BANK<br />

99/99/99 Combined Closing Balances $99,999,999,999.99$99,999,999,999.99<br />

Checking Activity<br />

Process Date Check<br />

Date Written Number Payee Check Category Amount<br />

ASSET MANAGEMENT ACCOUNT SECTIONS<br />

Daily Transactions Summary<br />

For asset management accounts, transactions are presented in date order with a running<br />

cash balance for each entry. Checking and debit card activity, deposits and withdrawals,<br />

and brokerage transactions are listed here.<br />

Checking Activity<br />

This section displays checking activity for asset management account holders only, and is<br />

presented in sequential check number order.<br />

Debit Card Activity<br />

For asset management accounts, investors can use this section to keep track of debit card<br />

usage for the month.<br />

99/99/99 99/99/99 9999 XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW Charitable Contributions -99,999,999,999.99<br />

99/99/99 99/99/99 9999 XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW Fees/Dues/Subscriptions -99,999,999,999.99<br />

<strong>To</strong>tal Checking Activity -$99,999,999,999.99<br />

MasterCard ® Activity<br />

Process Transaction<br />

Date Date Vendor Location Reference Number Amount<br />

99/99/99 99/99/99 GREENVILLE HOTEL NEW YORK, NY -99,999,999,999.99<br />

99/99/99 99/99/99 ATM WITHDRAWAL NEW YORK, NY -99,999,999,999.99<br />

<strong>To</strong>tal MasterCard Activity -$99,999,999,999.99<br />

Account Number: 999–999999<br />

John Q. Public<br />

11<br />

Portfolio Holdings<br />

Activity Opening Closing Accrued Income 30-Day Current<br />

Quantity Opening Date Account Number Ending Balance Balance Income This Year Yield Yield<br />

Cash and Cash Equivalents – 99.99% of Portfolio<br />

Cash Balance 99,999,999,999.99 99,999,999,999.99<br />

Margin Balance 99,999,999,999.99 99,999,999,999.99<br />

Short Account Balance 99,999,999,999.99 99,999,999,999.99<br />

Money Market Funds<br />

99,999,999,999.99 99/99/99 99999999999 99/99/9999 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 999.99% 999.99%<br />

<strong>To</strong>tal Money Market Funds $99,999,999,999.99 $99,999,999,999.99 $99,999,999,999.99 $99,999,999,999.99<br />

<strong>To</strong>tal Cash and Cash Equivalents $99,999,999,999.99 $99,999,999,999.99 $99,999,999,999.99 $99,999,999,999.99<br />

Adjusted Unrealized Accrued Estimated Estimated<br />

Quantity Acquisition Date Unit Cost Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield<br />

Municipal Bonds<br />

XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW<br />

99,999,999,999 99/99/99 9,999,999.9999 -99,999,999,999.99 9,999,999.9999 -99,999,999,999.99 -99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 999.99%<br />

Original Cost Basis: $99,999,999,999.99<br />

<strong>To</strong>tal Municipal Bonds -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99 $99,999,999,999.99 $99,999,999,999.99<br />

U.S. Treasury Securities<br />

XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW<br />

99,999,999,999 99/99/99 9,999,999.9999 -99,999,999,999.99 9,999,999.9999 -99,999,999,999.99 -99,999,999,999.99 99,999,999,999.99 99,999,999,999.99 999.99%<br />

Original Cost Basis: $99,999,999,999.99<br />

<strong>To</strong>tal U.S. Treasury Securities -$99,999,999,999.99 -$99,999,999,999.99-$99,999,999,999.99 $99,999,999,999.99 $99,999,999,999.99<br />

<strong>To</strong>tal Fixed Income -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99 $99,999,999,999.99 $99,999,999,999.99<br />

Schedule of Realized Gains and Losses Year-to-Date<br />

Disposition Acquisition Closing<br />

Date Date Transaction Description Security ID Quantity Cost Basis Proceeds Realized Gain/Loss<br />

Short Term<br />

99/99/99 99/99/99 Buy CISCO SYSTEMS INC CSCO -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

99/99/99 99/99/99 Sell MCI COMMUNICATIONS MCIC -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

<strong>To</strong>tal Short Term -$99,999,999,999.99 -$99,999,999,999.99 $99,999,999,999.99<br />

Long Term<br />

99/99/99 99/99/99 Sell NORTEL NETWORKS CORP *N/C* EFF 5/1/00 656569100 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

99/99/99 99/99/99 Buy MCI COMMUNICATIONS MCIC -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99 -99,999,999,999.99<br />

<strong>To</strong>tal Long Term -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99<br />

<strong>To</strong>tal Short Term and Long Term -$99,999,999,999.99 -$99,999,999,999.99 -$99,999,999,999.99<br />

PORTFOLIO EVALUATION SERVICE SECTIONS<br />

Portfolio Holdings<br />

For investors who subscribe to PES, tax-lot information is provided for easy tracking of gains<br />

and losses. Monthly statements include an enhanced Portfolio Holdings section indicating<br />

dates acquired, original cost basis, current price, and unrealized gains and losses for all current<br />

holdings. For bonds, the statement reflects both original and adjusted cost basis (adjusted for<br />

principal paydowns and any accretion or amortization on premium or discounted bonds).<br />

Additionally, the average unit cost for mutual funds is available, and annuities appear in their<br />

own subsection.<br />

Schedule of Realized Gains and Losses Year-to-Date<br />

In this section, you can review the details of all positions closed out year-to-date. Buy<br />

transactions, sell transactions, instruments that mature, and option expirations are displayed,<br />

among other transaction types. While the Portfolio Holdings section includes all settled<br />

positions, the quarterly Schedule of Realized Gains and Losses includes all closed positions<br />

as of the trade date.<br />

Account Number: 999–999999<br />

John Q. Public<br />

12

JOHN Q. PUBLIC<br />

1234 TOWNLINE STREET<br />

APT. #1234<br />

SOMEWHERE, MA 00000-0000<br />

Primary Account Number: 999-999999<br />

Investor Identification: 999999999999<br />

Period Ending: 03/31/200X<br />

CONSOLIDATED ACCOUNT SECTIONS<br />

Summary of Accounts<br />

This section lists each of the linked accounts, including the account description, the account<br />

number, and the registration of each account. This section also provides the value of each<br />

account, the percentage of total assets for each account, and the entire market value (or net<br />

worth) of all accounts included in the Consolidated Account Summary.<br />

Summary of Accounts<br />

This Period<br />

Last Period<br />

Description Account Number Name Value % of Assets Value % of Assets<br />

Retirement/Trust Account 999-999999 XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW 99,999,999,999.99 999% 99,999,999,999.99 999%<br />

XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW<br />

Asset Management Account 999-999999 XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW 99,999,999,999.99 999% 99,999,999,999.99 999%<br />

XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW<br />

Brokerage Account 999-999999 XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW 99,999,999,999.99 999% 99,999,999,999.99 999%<br />

XWXWXWXWXWXWXWXWXWXWXWXWXWXWXWXW<br />

<strong>To</strong>tal $99,999,999,999.99 100% $99,999,999,999.99 100%<br />

Summary of Asset Allocation<br />

This section summarizes the value of each type of investment held in the linked accounts,<br />

along with the percentage that each asset category represents.<br />

Summary of Asset Allocation<br />

Value Value Percent<br />

Last Period This Period Allocation<br />

Fixed Income 99,999,999,999.99 99,999,999,999.99 999%<br />

Mutual Funds 99,999,999,999.99 99,999,999,999.99 999%<br />

Annuities 99,999,999,999.99 99,999,999,999.99 999%<br />

Other 99,999,999,999.99 99,999,999,999.99 999%<br />

Global Account Cash Balance 99,999,999,999.99 99,999,999,999.99 999%<br />

Global Account Securities 99,999,999,999.99 99,999,999,999.99 999%<br />

Pie Chart <strong>To</strong>tal $99,999,999,999.99 $99,999,999,999.99 100%<br />

Cash and Cash Equivalents -99,999,999,999.99 -99,999,999,999.99<br />

Equities -99,999,999,999.99 -99,999,999,999.99<br />

Account <strong>To</strong>tal $99,999,999,999.99 $99,999,999,999.99<br />

Asset allocation percentages are<br />

rounded to the nearest whole<br />

percentage.<br />

Pie chart allocation excludes all<br />

asset classes which net to a liability.<br />

13

BRO HOWSTMT 1-04

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