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Due to the unpredictable nature of the investment markets, the ever-changing economic scene, and the inherent risk that an investor may lose money, there is no guarantee or assurance whatsoever that any of the ideas or strategies discussed on this site (or any of our affiliated sites) will be successful. We are not responsible for any loss, liability, or risk incurred as a result of applying or using any of the information provided. Doug Goldstein, Profile Investment Services, Ltd., or any of its affiliates are not under any obligation to update or correct any information provided. Doug Goldstein’s statements and opinions are subject to change without notice. Speak to a qualified tax and investment professional before investing. Past performance is not indicative of future results. Neither Doug Goldstein, Profile Investment Services, Ltd. nor any of its affiliates guarantees any specific outcome or profit. You should be aware of the real risk of loss in following any strategy or investment discussed on this website. Strategies or investments discussed may fluctuate in price or value. Investors may get back less than invested. Investments or strategies mentioned on this website or on the show may not be suitable for you. This website does not take into account your particular investment objectives, financial situation or needs and is not intended as recommendations appropriate for you.
Business Continuity Plan
Profile Investment Services, Ltd. has developed a Business Continuity Plan for how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
If after a significant business disruption you cannot contact us as you usually do, you should call our alternative number 02-624-2798 (for emergencies only). If there is no answer on that emergency line you may go to our web site at www.profile-financial.com and/or email us at firstname.lastname@example.org. If you are unable to contact us by these means, contact our Miami broker/dealer, Portfolio Resources Group, Inc., directly in the U.S. at 1-305-372-0299. If you cannot access us through any of those means, you should contact the PRG clearing firm, Pershing, for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions. In the event that Portfolio Resources experiences a significant business interruption, you may contact Pershing directly to process limited trade-related transactions, cash disbursements, and security transfers. Instructions to Pershing must be in writing and transmitted via facsimile at (201) 413-5368 or by postal service as follows: Pershing LLC, P.O. Box 2065, Jersey City, New Jersey 07303-2065. 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 Customer Support section or call (201) 413-3635 for recorded instructions. If you cannot access the instructions from the website or the previously noted telephone number, you may call (213) 624-6100, extension 500, an alternate Pershing number for recorded instructions.
Our Business Continuity Plan
We plan to quickly recover and resume business operations after a significant business disruption 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 business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Significant business disruptions can vary in their scope, such as only our firm, a single building or unit housing 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 only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within a few hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within a day. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site or our customer emergency number, how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
For more information
If you have questions about our Business Continuity Plan, please feel free to contact us. For the Portfolio Resources Group Business Continuity Plan go to http://www.prginc.net/continuity.html. For the Pershing Business Continuity Plan go to http://www.pershing.com/_global-assets/pdf/disclosures/per-business-continuity.pdf.
Download the following documents: