Frequently Asked Questions

How can I open an account?

Opening an account with Southeast Investments is a fairly smooth process. Whether it is your individual, joint, trust, partnership or your IRA or SEP, we can handle it and would be honored to do so. In addition, if you have just changed jobs, we handle 401(k) rollovers. Our team can handle all the paperwork and make getting on top of your retirement accounts as easy as possible. Call us at 1-800-828-1295 or 704-527-7873 and we would be glad to help you.

Where can I see your performance?

As a rule, each investor’s account is separate and is not a part of a group, i.e. is personalized for the individual investor. Therefore we cannot show the performance of those individual accounts.

Is my money safe with Southeast Investments?

All of our investors have coverage through Securities Investors Protection Corporation (SIPC), which guards against missing cash and securities resulting from a failed broker-dealer. This protection shall not be construed as a safeguard against portfolio losses due to market activity. Please see www.sipc.org for more information.
All investments and assets are custodied with AXOS Clearing.
All investments carry risk of loss, including those with Southeast Investments. While we strive to protect and grow your assets through sound investment methodology, we cannot and do not guarantee results of any kind.

Brokers and/or Brokerage Firms can be reviewed utilizing FINRA’s BrokerCheck

Can I access my account information online?

Yes, of course. Through our relationship with AXOS Clearing, all customers of Southeast Investments have the option of full access to their accounts online.

Please contact your broker for online access.

How often do I get account statements?

All customer accounts receive account statements once per month, if there is activity in the account.  If there is no activity in the account, you will receive a quarterly statement. In addition, confirmations of all transactions that occur in the accounts will be sent to clients. If you are not receiving your account statements or confirmations, please call us at 1-800-828-1295 or 704-527-7873 and we will see that you do. We believe all investors should take extra care to monitor their investments on a regular basis.

How do I receive my tax information concerning investments with your firm?

Our clearing firm, AXOS Clearing, will provide a 1099 after the end of each calendar year.

Do you handle retirement accounts?

At Southeast Investments, we provide a full range of investments choices, including IRAs, Roth, and SEPs. In addition, our 401(k) rollover team can streamline and speed up the gathering and collection of your plans. Please call us at 1-800-828-1295 or 704-527-7873 and we would be happy to help you.

Do you offer any debit card/checking services related to my investment account?

Through AXOS Clearing, we offer a full range of cash management solutions, including electronic access through VISA debit cards and check writing capability. If you would like to add these features to your account, please call our Client Services Department at 1-800-828-1295 or 704-527-7873 and we would be happy to assist you.