Business Continuity Policy
Register Financial Associates, Inc. has developed an extensive Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are 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.
In the event that there is a disruption to our business and we must evacuate our office, we would ask you to refer to our website for further instructions and use the following contact numbers:
As a client of Register Financial Associates, Inc., 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 Service, LLC, will assist you with sell or liquidation orders and provide check disbursements, as required.
If you cannot contact our firm by any means, please call the appropriate phone number listed below for your account concerns.
- Wells Fargo Clearing Services, LLC for assistance at 877-496-3223.
- Clients who participate in the Edelman Managed Asset Program (EMAP) should contact the Edelman Financial Services Advisor Hotline at 866-611-EMAP
- Schwab clients should contact Schwab Alliance at 800-515-2157
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 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.
Register Financials full Business Continuity Plan encompasses data back up and recovery, all mission systems, financial and operational assessments, alternative physical locations, alternative communications systems for customers, employees, regulators, suppliers, banks, protecting the firm’s books and records, providing clients access to funds and securities. 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 disruption. For more information about our Business Continuity Plan, please feel free to contact us.