Whitehall-Parker Securities, Inc. has developed a Business Continuity Plan to 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 (415) 421-5935(our main telephone number), you should call our alternative number (415) 609-0781 or go to our web site at www.whitehall-parker.com. If you cannot access us through either of those means, you should contact our clearing firm(Pershing, LLC) at (800) 635-9881 for instructions on how it provide prompt access to funds and securities, enter orders, and process other trade-related, cash, and security transfer transactions.


Our Business Continuity Plan – We plan to attempt 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.


Our clearing firm(Pershing, LLC) backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within the same day. Your orders and requests for funds and securities could be delayed during this period.