We have developed a Business Continuity Plan on how we will respond
to events that significantly disrupt our business. Since the timing
and impact of disasters and disruptions is unpredictable, we will
have to be flexible in responding to actual events as they occur.
With that in mind, we are providing you with this information on
our business continuity plan.
Contacting Us – If after a significant business disruption
you cannot contact us as you usually do at phone# 1-800-776-1018
or email twsaccountmanager@tradewallstreet.com. You should call
our alternative number or go to our web site at http://www.tradewallstreet.com.
If you cannot access us through either of those means, you should
contact our clearing firm, Penson Financial Services, Inc. (PFSI)
at 1-214-765-1100 or go to the web site at http://online.penson.com
for instructions on how it may help to provide you prompt access
to funds and securities, enter orders and process other trade-related,
cash, and security transfer transactions. A copy of our business
continuity plan is available by contacting twsaccountmanager@tradewallstreet.com.
Our Business Continuity Plan – We plan to quickly recover
and resume business operations after a significant business disruption
and respond by safeguarding our employees and property, making a
financial and operational assessment, protecting the firm’s
books and records, and allowing our customers to transact business.
In short, our business continuity plan is designed to permit our
firm to resume operations as quickly as possible, given the scope
and severity of the significant business disruption.
Our business continuity plan addresses: data back up and recovery;
all mission critical systems; financial and operational assessments;
alternative communications with customers, employees, and regulators;
alternate physical location of employees; critical supplier, contractor,
bank and counter-party impact; regulatory reporting; and assuring
our customers prompt access to their funds and securities if we
are unable to continue our business.
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