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Emergency Information
In the wake of September 11, 2001, and, more recently, Hurricanes Katrina and Rita, we wanted to give you an assurance that we at Robert J. Reby & Company are keeping your best interests foremost in our minds.
Now and then, emergencies—natural and manmade—force an unwanted disruption of business. We’re providing you with this official document so that you and we have a complete understanding of our ability to respond to certain business disruptions.
We welcome your comments, suggestions and feedback on how we can improve our responses in emergency situations. Please call us at 800-769-9963 or +1-203-790-4949, or e-mail info@robertreby.com.
Please print this statement and keep it with your emergency preparedness documents.
Being prepared for emergencies is part and parcel of what the team at Robert J. Reby & Company seeks to offer you in moving you toward your retirement and other goals for the future.
Robert J. Reby & Company, Inc.
Business Disruptions Statement
Robert J. Reby & Company, Inc. is providing you with this document to inform you of its ability to respond to certain business disruptions at Robert J. Reby & Co.
The financial advisors of Robert J. Reby & Co. are associated with Royal Alliance Associates, Inc. (“Royal”). Royal’s ability to respond to business disruptions is therefore important to your relationship with Robert J. Reby & Co. In general, both Robert J. Reby & Co. and Royal maintain business continuity plans and intend to continue business in the event of a significant business disruption.
Robert J. Reby & Co. has made arrangements and plans to service your business in case our offices are closed for either one day or an extended period of time. Certain services such as the execution of securities transactions and the maintenance of customer funds and securities are expected to be available even if the offices are closed due to a business disruption event. Accordingly, Robert J. Reby & Co.’s ability to respond to certain business disruptions is partially dependent on Royal and its clearing firm Pershing to be able to carry out those functions.
In the event of a significant business disruption Robert J. Reby & Co. may route calls to Royal, service calls from alternate locations or transfer operations to the alternate emergency office.
Although Robert J. Reby & Co. intends to continue business in the event of a significant business disruption, there are some disruptions that may render Robert J. Reby & Co. unable to continue business. Under such circumstances, Robert J. Reby & Co. will ensure that clients will be able to access their funds and securities within a reasonable time.
To provide clients with up-to-date information during a significant business disruption to the Robert J. Reby & Co. office, clients may call Robert J. Reby & Co.’s telephone number at (203) 790-4949 or visit our emergency information Web page at www.robertreby.com.
Robert J. Reby & Co. Response to Events of Varying Scope
The following sections describe specific events and Robert J. Reby & Co.’s corresponding general response to those events. Clients, however, should note that these responses are subject to modification and, depending on the severity of a specific event, Robert J. Reby & Co. cannot guarantee that it will be able to follow the stated course of action. If these responses are modified, Robert J. Reby & Co. will update the information on its Web site.
If the Robert J. Reby & Co. office is closed for more than one day to five days we plan to service your business from alternate locations by telephone. You will be instructed via our Web site or by recorded message on how to contact your Financial Planner in order to conduct business. All business-related documents can be mailed by overnight courier to the address stated on our recorded message and on our Web site.
If Robert J. Reby & Co. office is closed for more than five days to ten business days we plan to service your business from a pre-arranged alternate location. Clients will be able to visit our temporary office. You will be instructed via our Web site or by recorded message on how to contact your Financial Planner in order to conduct business and get the address of our alternate temporary office.
If the Robert J. Reby & Co. office is closed for more than ten business days we plan to service your business from an alternative location based in Danbury indefinitely until further notice. You will be instructed via our Web site or by recorded message on how to contact your Financial Planner in order to conduct business and get the address of our alternate office.
Robert J. Reby & Company, Inc. (“Reby”) is an SEC registered investment adviser located in Danbury, Connecticut. Reby and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which Reby maintains clients. Reby may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Reby’s Web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Reby’s Web site on the Internet should not be construed by any consumer and/or prospective client as Reby’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.