Westminster Financial Securities, Inc. has developed a Business Continuity Plan on how we will respond to events thatsignificantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will haveto be flexible in responding to actual events as they occur. With that in mind, we are providing you with this informationon our business continuity plan.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (937) 898‐5010, youmay contact us at Emergency Phone Number (561) 588‐1114 or (440) 695‐3858. These are the phone numbers for ourFlorida branch office and Cleveland office, which will serve as our emergency backup locations. If you are unable tocontact us at any of these numbers, go to our website to obtain instructions on how to contact us and obtain access tothe funds and/or securities in your account and to access trading and related services. Our website address iswww.westminsterfinancial.com.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant businessdisruption 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 businesscontinuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severityof the significant business disruption.
Our business continuity plan addresses: data back‐up and recovery; all mission critical systems; financial andoperational assessments; alternative communications with customers, employees, and regulators; alternate physicallocation of employees; critical supplier, contractor, bank and counter‐party impact; regulatory reporting; and assuringour customers prompt access to their funds and securities if we are unable to continue our business.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single buildinghousing our firm, the business district where our firm is located, the city where we are located, or the whole region.Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to onlyour firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recoverand resume business within 24 hours. In a disruption affecting our business district, city, or region, we will transfer ouroperations to a site outside of the affected area, and recover and resume business within 48 hours. In either situation,we plan to continue in business and notify you through our website, www.westminsterfinancial.com how to contact us.If the significant business disruption is so severe that it prevents us from remaining in business, we will assure ourcustomer’s prompt access to their funds and securities.