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Please read this disclosure statement carefully for it provides important information regarding the Business Continuity and Disaster Recovery Plan ("Continuity Plan") Barrington Capital Management, Inc., (collectively referred to as "we," "us," and "our" throughout this policy), which are affiliates under common control.

 

Securities, insurance and industry regulations require brokerage firms to create and maintain a Continuity Plan to address the possibility of a significant business disruption ("SBD") that could potentially result from power outage, natural disaster, or other emergency. To address this possibility, we have developed a comprehensive Continuity Plan that outlines steps to be taken in the event of an SBD of critical business operations.

 

As our valued customers, we are providing you with this disclosure statement that briefly describes our efforts to offer continued uninterrupted customer service.

 

Our Continuity Plan

 

We utilized the services of third party cloud providers for our exclusive use to support our planned efforts.

 

It is our intention to respond and recover promptly after an SBD 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.

 

Our Continuity Plan is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD. In most cases, customer service functions will be back in operation within a few hours or less. In the event of a major business emergency, our Continuity Plan is designed to enable us to have critical business operations up and running within 24 hours of a disaster or disruption. However, please bear in mind that during an industry-wide disaster or disruption, customers may experience additional delayed recovery time.

 

The Continuity Plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, 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 account positions if we are unable to continue business operations.

 

In the event of an SBD, it is our intention to remain in operation or temporarily transfer operations to our clearing firms if necessary, and notify you via telephone, email, through our web site or at our customer emergency number, (800)741-0704 for contact instructions.

 

Because the timing and impact of a disaster and disruption is unpredictable, the business continuity plan is reviewed, updated and tested on a regular basis for effectiveness. We will make every effort to notify you of a switchover to business continuity operations as soon as possible in the event of an interruption.

 

We have employed significant steps to develop, implement and maintain a reasonable Continuity Plan; however, we cannot guarantee that systems will absolutely recover after an SBD. At the same time, we trust our development, implementation and maintenance in preparation for significant events is vigorous and representative of current industry standards.

 

We will continue to post general and updated information about our business continuity plan on our web site. You may also request a written copy of our Continuity Plan summary by writing to:

 

Barrington Capital Management, Inc.

Attn: Business Continuity Operations

3800 American Boulevard West

Suite 1110

Bloomington, MN 55431

 

 

This disclosure statement is subject to change at any time.

As of 01/21/2019.

Barrington Capital Management, Inc. | Disclosure Statement

Business Continuity and Disaster Recovery Plan Disclosure Statement

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Barrington Capital Management, Inc.  |  3800 American Boulevard West  |  Suite 1110  |  Bloomington, MN  55431

952-835-1000   800-944-2419  |   Fax: 952-835-1504  |  Info@BarringtonCap.com

 

Barrington Capital Management, Inc. only conducts business in states and jurisdictions where it is registered or where an exemption from registration exists. This site and its contents do not constitute investment advice or a solicitation to sell securities. Past performance is not indicative of future results. This website is for informational purposes only and Barrington Capital Management, Inc. reserves the right to modify it at any time without notice. Copies of Barrington Capital Management Inc.’s Form ADV Part 2 are available upon request. Images and photographs are included for the sole purpose of visually enhancing the website. No photographs are of current or former clients and they should not be construed as an endorsement or testimonial from any of the persons in the photograph.

All materials used on this site, including all images, are copyrighted and are protected worldwide by copyright laws and treaty provisions. They may not be copied, reproduced, modified, published, uploaded, posted, transmitted, or distributed in any way, without Barrington Capital Management Inc.'s prior written permission.

Neither Barrington Capital Management, Inc., nor any of their Investment Adviser Representatives, provide tax or legal advice. Tax and legal advice should only be obtained from a qualified professional. All written content on this site is for informational purposes only. All information and ideas should be discussed in detail with an advisor prior to implementation. Examples from our news feeds, blogs or articles do not take into consideration commissions, investment management fees, miscellaneous transaction fees, tax considerations, or margin requirements, which are factors that may significantly affect the economic consequences of a given strategy. Investors should review transaction costs, margin requirements and tax considerations with their financial or tax advisor before entering into any investment or financial planning strategy. Material presented is believed to be from reliable sources; however, we make no representations as to its accuracy or completeness.

Investment Advisory services are offered by Barrington Capital Management, Inc., a Registered Investment Adviser in the states of Minnesota, California, Texas, and Wisconsin. Barrington Capital Management, Inc. may utilize the services of First Ascent Asset Management, LLC for certain investment portfolios. Insurance products and services are also offered through Barrington Capital Management, Inc. 

 

Disclosure: Barrington Capital Management, Inc. is not a law firm. Robert D. Lawson and his associates are not practicing attorneys. The scope of any activities performed by Robert D. Lawson, subcontractors or employees of Barrington Capital Management, Inc. is limited to litigation consulting and litigation support.​

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Business Continuity Plan

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