Feldman, Ingardona & Company, Logo

2001 Butterfield ROAD, sUITE 170
Downers Grove, IL 60515

pHONE: (630) 663-1800
pHONE: (800) 457-8396

fAX: (630) 663-9572

Business Continuity Planning


Feldman, Ingardona & Co. has developed a Business Continuity Plan on 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.

CONTACTING US

If after a significant business disruption you cannot contact us as you usually do at our office phone or e-mail, you should call any of the following: William M. Feldman at (312) 406-1602, Alex M. Ingardona at (630) 561-4549 or Timothy M. Hart at (847) 254-1695. In the unlikely event you cannot access us at the above phone numbers, you should contact us via email or National Financial Services LLC (NSF) at (800) 801-9942.

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.

Our clearing firm, NFS has custody of your assets and backs up our important records in geographically separate areas. NFS's notice of business continuity plan is disclosed on their web site www.clearingcustody.fidelity.com. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised that a site outage at NFS would not impact your ability to access your available funds, as its business continuity plans are designed to ensure sustained service. However, your ability to trade your available funds may be impacted by events outside of NFS's control.

VARYING DISRUPTIONS

Significant business disruptions can vary in their scope, such as only our firm, a single building 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 one day. 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 three days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you on how to contact us through the phone numbers listed above. 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 planning, you can contact us at (630) 663-1800.