Business Continuity Disclosure
Shearman, Ralston Inc.
BUSINESS CONTINUITY DISCLOSURE STATEMENT
In accordance with the FINRA Rules, Shearman, Ralston Inc. is committed to protecting our employees and customers through our dedication to Business Continuity Management in the event of a business interruption. Our firm’s policy is to respond to a Significant Business Disruption by safeguarding employee’s lives and firm property, quickly recovering and resuming operations, protecting all of the firm’s books and records and allowing our customers to transact business and maintain access to their funds and securities.
In the event of a business interruption which affects only our firm, or a disruption to our office building, or a disruption to our business district or a city-wide or regional disruption we are identifying two phone numbers which can be used to reach senior management:
Nate Ralston 203 969-4243*
Dan Sullivan 917 399-0103 or 914 329-7949*
*We ask that these numbers only be used in the event of a business emergency*
Funds or stock certificates can be mailed to:
Douglas Ralston
18 Wooddale Road
Greenwich, CT 06830
In addition, you can reach our clearing firm, Apex Clearing Corp. 214-953-3348, Relationship Management, or the Help Desk at 214 765-1100 or businessrecovery@apexclearing.com, for further updates and information as to how to contact employees of Shearman, Ralston Inc. In the case of any business interruption senior management will be in constant contact with Apex Clearing Corp. An employee of Shearman, Ralston may even be located at an Apex Clearing site. In many cases, employees will work from home. The ability of remote access to internal systems with appropriate security access exists for key employees.
Shearman, Ralston Inc. and Apex Clearing maintain all of its recovery resources, mission critical systems and data backup of books and record at geographically dispersed facilities so that we can continue to provide you with seemingly uninterrupted service. This will include but not be limited to order taking, order entry, order execution, access to month end statements and access to your funds and securities.
During any disruptive event Shearman, Ralston Inc. will continually assess the extent and expected duration of the interruption in our normal business activity. We will remain in contact with our customers by telephone. In certain circumstances updates may be obtained by checking our website:
Shearman, Ralston Inc. is committed to providing quality service to our customers under all circumstances. We will regularly review and update our Business Continuity Plan to reflect any material changes in our operations, structure or location of our firm or our back-up sites or those of our clearing firm.
A written copy of this announcement is available upon request
August 2014