Business Continuity

Disclosure Policy

TRUBEE, COLLINS & CO., INC. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business.  We intend to continue operations as much as is reasonably possible, and we have back-up systems in place* that will guarantee our Customers’ prompt access to their funds and securities.

Since the timing, scope, impact and degree of disruptions are unpredictable (such as only our firm, the building housing our firm, local business district, city/region, etc.), we will have to be flexible in responding to actual events as they occur.  With that in mind, we are providing you with this summary of information on our business continuity plan.

CONTACTING US

During a significant business disruption, you should contact us as you usually do at (716) 849-1401 or (800) 836-4050 and follow the contact information and/or instructions indicated in the greeting.

Office personnel will transition to remote locations in the event of a significant but localized business disruption; this transition will be completed in a matter of hours.  Please do not call with routine inquiries, but only with matters of importance.  All telephone calls, email, U.S. mail, and overnight packages will be forwarded to the remote location(s).  [In a disruption affecting our business district, city, or region, we will rely on our clearing firm to handle urgent business matters until we transfer our operations to a site outside the affected area.]

As a client of Trubee Collins, we recognize you may need access to your account to sell a position or request a check before we can re-establish telephone or other communication services with you.  During this time, our clearing firm, Wells Fargo Clearing Services, LLC, will assist you with only sell (liquidation) equity, option and mutual fund orders and provide check disbursements, as required.  If you cannot contact our firm by any means, please call Wells Fargo Clearing Services, LLC for assistance at 877-496-3223.

Our clearing firm, Wells Fargo Clearing Services, LLC, regularly backs up its important information 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, Wells Fargo Clearing Services, LLC has a thorough Business Continuation Plan in place.  Wells Fargo Clearing Services, LLC has advised us that its objective is to restore its own operations in order to complete existing transactions and accept new transactions and payments in a timely manner.  Website:  www.WellsFargoClearingServicesLLC.com