BUSINESS CONTINUITY PLAN

EMERGENCY CONTACT PERSONS

Our firm’s two emergency contact persons are: Charles Wellington 516.676.2755/516.353.4424 (primary) and Julie Vicinanza 732.495.1284/908.601.1209 (secondary). These names will be updated in the event of a material change, and our Executive Representative will review them within 17 business days of the end of each quarter.

FIRM POLICY

Our firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will assure customers prompt access to their funds and securities.

Back to Top