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Business Continuity Plan
Disclosure
Geoffrey Richards
Securities Corp. (GRSC) maintains a business continuity plan (the
"Plan"). Consistent with regulatory requirements, GRSC provides this
disclosure statement to our clients which summarizes
the Plan. Clients should understand that because the Plan contains
confidential details and proprietary information, it cannot be distributed
outside of the firm. The Plan is reviewed annually and may be updated at
any time.
The Plan is designed to be activated in the
event of a significant business disruption. The Plan attempts to continue
critical operations if an event were to occur that would impact the firm's
business locations or systems. The Plan anticipates a variety of
significant business disruptions and the actions GRSC would take in the
event of a building, city-wide or regional incident. Utilizing a recovery
matrix dependent on the severity of the disruption, the Plan calls for the
relocation of personnel to a pre-assigned back up facility as well as the
transfer of technological data processing to an alternative location.
The firm clears through RBC Correspondent Services, Inc, 60 South Sixth Street, Minneapolis MN, 55402. The
contact people at RBC Correspondent Services are:
·
Dennis Hollenkamp
314-589-5770
dennis.hollenkamp@rbc.com
·
Paul Meehl –
612-607-8998
paul.r.meehl@rbc.com
If clients are, for any reason, unable to contact their financial
advisor, they may call client relations at RBC Correspondent Services
866-358-2729.
Legal Statement
IMPORTANT DISCLAIMER
Investments made through Geoffrey Richards Securities Corporation: (1) are
not insured by the FDIC; (2) are not deposits or other obligations of, or guaranteed
by, Geoffrey Richards Securities Corporation, or any of its affiliates; (3)
are not guaranteed by any Federal governmental agency (excluding U.S.
Government and federal agency securities); and (4) are subject to
investment risks, including possible loss of principal amount invested.
The study on these pages is not a complete analysis of
every material fact regarding any company, industry or security. The
opinions expressed herein reflect the judgment of the author at this date
and are subject to change without notice. Facts have been obtained from
sources considered reliable, but are not guaranteed. Geoffrey Richards
Securities Corporation, its directors and employees and their families may
have a position in the securities of the companies described herein, and
may make purchases or sales while this report is in circulation. Additional
information is available upon request.
Geoffrey Richards
Securities Corporation 7570 S.Federal Highway Suite 7
Hypoluxo, FL
33462 Phone(561)586-0800 Fax(561)586-1411
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