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Performance Trust Capital Partners, LLC have a Business Continuity Plan (BCP) in place, including redundant data centers and alternate processing facilities, to address interruptions to our normal course of business. The plans are reviewed annually and updated as necessary. Our plans outline the actions Performance Trust Capital Partners, LLC will take in the event of a significant business disruption ranging in severity from a firm only disruption to a regional disruption, including relocating technology and operational personnel to pre-assigned alternate regional facilities. Technology data processing can also be switched to an alternate regional data center.
Performance Trust Capital Partners, LLC’s redundancy technology 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 five hours. This recovery objective may be negatively affected by the availability of external resources and circumstances beyond our control.
Performance Trust Capital Partners, LLC maintain relationships with its clearing firm, Pershing. We fully introduce your accounts to Pershing as it maintains your assets and settles your transactions on your behalf. In the event of a regional catastrophic event including, but not limited to a natural disaster, terrorist attack, or other severe failure where Performance Trust Capital Partners, LLC can no longer conduct business, Pershing may be contracted 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
P.O. Box 2065
Jersey City, NJ 07303-2065
Fax: (201) 413-5368
For additional information about how to request funds and securities when Performance Trust Capital Partners, LLC cannot be contacted due to a significant business disruption, 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 ext. 500 as an alternate telephone number for recorded instructions.
If you have any questions regarding this summary, please call 800-200-9125.
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The research and other information provided herein has been prepared for informational purposes only and is not an offer or solicitation to purchase or sell securities. Performance Trust Capital Partners (Performance Trust) may make a market, or have a position in the securities discussed herein and may purchase or sell the same on a principal basis or as an agent. Investing involves risks, including the potential for principal loss. There is no guarantee that the strategies and services will be successful or outperform other strategies and services. Investing in bonds includes assumption of risks, including rising interest rates to decrease the value of bonds. Certain assumptions may have been made in connection with the analysis presented herein, and changes to the assumptions may have a material impact on the analysis or results. Past performance is no guarantee of future results. The investments discussed herein may be unsuitable for investors depending on their specific investment objectives and financial position. Investors should independently evaluate each investment discussed in the context of their own objectives, risk profile and circumstances. With respect to the information contained herein that has been obtained from public sources, while Performance Trust believes this information to be reliable, Performance Trust does not guarantee its accuracy, adequacy or completeness and is not responsible for any errors or omissions or for the results obtained from the use of such information.
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