In the event that customers are unable to reach us, please try the alternative phone numbers:

• 212-661-6886
• 631-757-1500
• 800-383-8464
• 800-456-1220
• 646-290-5960
• 631-725-4791
• 631-271-2869

Pershing LLC Business Continuity Plan

Pershing maintains a business continuity plan, including redundant data centers and alternate processing facilities, to address interruptions to our normal course of business.  These plans are reviewed annually and updated as necessary.  Our plans outline the actions Pershing will take in the event of a building, city-wide, or regional incident, including relocating technology and operational personnel to preassigned alternate regional facilities.  Technology data processing can also be switched to an alternate regional data center.

All Pershing operational facilities are equipped for resumption of business and are tested several times per year.  Our recovery time objective for business resumption, including those involving a relocation of personnel or technology, is four (4) hours.  This recovery objective may be negatively affected by the unavailability of external resources and circumstances beyond our control.

In the event your financial organization experiences a significant business interruption, Pershing may be contacted directly to process limited trade-related transactions, cash disbursements, and security transfers.  Instructions to Pershing must be in writing and transmitted via facsimile or postal service as follows:

Pershing LLC
PO Box 2065
Jersey City, New Jersey 07303-2065

Fax:  (201) 413-5368

For additional information about how to request funds and securities when your financial organization cannot be contacted due to a significant business interruption, please visit the About Pershing section of the Pershing web site at www.pershing.com/about.htm or call (201) 413-3635 for recorded instructions.  If you cannot access the instructions from the web site or previously noted telephone number, Pershing may be contacted at (213) 624-6100 extension 500 as an alternate telephone number for recorded instructions.

The following information will be displayed in the About Pershing section on our web site, www.Pershing.com:

Business Continuity

Pershing maintains a business continuity plan, including redundant data centers and alternate processing facilities, to address interruptions to our normal course of business.  These plans are reviewed annually and updated as necessary.

Our plans outline the actions Pershing will take in the event of a building, city-wide, or regional incident, including relocating technology and operational personnel to preassigned alternate regional facilities.  Technology data processing can also be switched to an alternate regional data center.

All Pershing operational facilities are equipped for resumption of business and are tested several times per year.  Our recovery time objective for business resumption, including those involving a relocation of personnel or technology is four (4) hours.  This recovery objective may be negatively affected by the unavailability of external resources and circumstances beyond our control.

If you are a client of a Pershing customer experiencing business interruption, please visit the Customer Support page.

Customer Support

In the event that your financial organization experiences a significant business interruption, Pershing may be contacted directly to process limited trade-related transactions, cash disbursements, and security transfers.  Instructions to Pershing must be in writing and transmitted via facsimile or postal service as follows:

Pershing LLC
PO Box 2065
Jersey City, New Jersey 07303-2065
Fax:  (201) 413-5368

For additional information about how to request funds and securities when your financial organization cannot be contacted due to a significant business interruption, please refer to the information below or call (201) 413-3635 for recorded instructions.  If you cannot access the instructions from the previously noted telephone number, Pershing may be contacted at (213) 624-6100 extension 500 as an alternate telephone number for recorded instructions.

The specific transactions Pershing will perform for clients of our introducing broker-dealers, and the required accompanying information, are as follows:

Trades:
Pershing will process the following closing security transactions:

• Sale of security position held long in the client's account
• Buy of a security close-out a short security position

Pershing will process closing security transactions upon receipt of written instructions that must include the following information:

• Client Brokerage account number
• Client name (as registered on the brokerage account)
• Security description including symbol or CUSIP^® number
• Number of shares
  NOTE:  All orders will be handled as market orders.

Cash Disbursements
Pershing will process cash disbursements upon written instructions that must include the following information:

• Client Brokerage account number
• Client name (as registered on the brokerage account)
• Exact amount to be disbursed

• Indicate method of disbursement (as follows) and provide the information indicated:
   a)  Check (payable to account name only)

  • Indicate name and address of record check is to be mailed to

   b)  Federal funds

  • Indicate receiving bank name, ABA number, and receiving bank account number
    NOTE:  The receiving bank account name and brokerage account name must be identical unless we have a Letter Of Authorization on file indicating alternate instructions.

Securities Transfers
Pershing will process security transfer requests upon written instructions that must include the following information:

• Client Brokerage account number
• Client name (as registered on the brokerage account)
• Description of security(ies) to be transferred including symbol(s) or CUSIP number(s)
• Quantity to be transferred
• Receiving account information for securities, as follows:
   a)  Transfer to another brokerage account at Pershing

  • Provide receiving account number at Pershing (name and address on both accounts must be the same)

   b)  Transfer to another financial organization

  • Name of the receiving financial organization

  • DTC number (if the receiving financial organization is a registered broker-dealer)

  • Account number at the receiving financial organization