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Company Information

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Geoffrey Richards Securities
7570 S. Federal Hwy

Suite 3
Hypoluxo, FL 33462
561-586-0800
561-586-1411 Fax

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Business Continuity Plan Disclosure

 

Geoffrey Richards Securities Corp. (GRSC) maintains a business continuity plan (the "Plan"). Consistent with regulatory requirements, GRSC provides this disclosure statement to our clients which summarizes the Plan. Clients should understand that because the Plan contains confidential details and proprietary information, it cannot be distributed outside of the firm. The Plan is reviewed annually and may be updated at any time.

The Plan is designed to be activated in the event of a significant business disruption. The Plan attempts to continue critical operations if an event were to occur that would impact the firm's business locations or systems. The Plan anticipates a variety of significant business disruptions and the actions GRSC would take in the event of a building, city-wide or regional incident. Utilizing a recovery matrix dependent on the severity of the disruption, the Plan calls for the relocation of personnel to a pre-assigned back up facility as well as the transfer of technological data processing to an alternative location.

The firm clears through RBC Correspondent Services, Inc, 60 South Sixth Street, Minneapolis MN, 55402. The contact people at RBC Correspondent Services are:

 

         Dennis Hollenkamp 314-589-5770

dennis.hollenkamp@rbc.com

         Paul Meehl 612-607-8998

paul.r.meehl@rbc.com

If clients are, for any reason, unable to contact their financial advisor, they may call client relations at RBC Correspondent Services 866-358-2729.

 

Legal Statement

IMPORTANT DISCLAIMER
Investments made through Geoffrey Richards Securities Corporation: (1) are not insured by the FDIC; (2) are not deposits or other obligations of, or guaranteed by, Geoffrey Richards Securities Corporation, or any of its affiliates; (3) are not guaranteed by any Federal governmental agency (excluding U.S. Government and federal agency securities); and (4) are subject to investment risks, including possible loss of principal amount invested.

The study on these pages is not a complete analysis of every material fact regarding any company, industry or security. The opinions expressed herein reflect the judgment of the author at this date and are subject to change without notice. Facts have been obtained from sources considered reliable, but are not guaranteed. Geoffrey Richards Securities Corporation, its directors and employees and their families may have a position in the securities of the companies described herein, and may make purchases or sales while this report is in circulation. Additional information is available upon request.

Geoffrey Richards Securities Corporation 7570 S.Federal Highway Suite 7

Hypoluxo, FL 33462 Phone(561)586-0800 Fax(561)586-1411


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