Business Continuity Plan

 
 

Data backup, mission critical systems in place

The Sherman & Armbruster Group has 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 be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information.

In the event of a significant business disruption, you can contact the Sherman & Armbruster Group at 317.881.6670. If you cannot reach us at that telephone number, you can call our alternative number, 317.213.6590 or go to our Web Site, www.shermanandarmbruster.com.

Immediately following a significant business disruption,
we plan to quickly recover and resume business operations. We will 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. 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 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 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 business 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 five business days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site www.shermanandarmbruster.com or our customer emergency number, 317.213.6590. 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.

If you have questions about our business continuity planning, you can contact us at 317-881-6670,
or by going to the “Contact Us” section on this Site, ww.shermanandarmbruster.com.

View our Contact Us page