Business Continuity Statement


MURIEL SIEBERT & CO., INC.
BUSINESS CONTINUITY STATEMENT

Muriel Siebert & Co., Inc. (Siebert) and National Financial Services LLC (NFS) have an agreement whereby NFS provides trade execution, clearing and related services for your brokerage account. Siebert and NFS each maintain a Business Continuity Plan (BCP).

Siebert is dedicated to providing account access that is reliable and secure for our clients and our BCP outlines our delivery strategy. The BCP includes steps for addressing disruptions to business operations due to natural disaster, power outages, regional telecommunications failures and other significant events. The BCP is designed to support business critical functions, including client order handling, availability to cash and securities and access account balances.

Examples of how Siebert's plan addresses disruptions of varying scope:
  • Disruption to any of our service centers will result in calls, orders and electronic communications being re-routed to alternative service centers located outside the affected region with separate power grid and transportation system.
  • Siebert and NFS maintain multiple data centers and have designed a plan to address regional outages.
Siebert employees are a key part of our contingency and disaster recovery plans. Training and informing our employees is paramount to our success during recovery. While no BCP can eliminate all risk or delay resulting from an unexpected interruption in service, we continually assess and update our BCP to mitigate risk.

Any questions regarding the Siebert BCP may be directed in writing, to Muriel Siebert & Co., Inc.'s Compliance Department at 15 Exchange Place, 6th Floor Suite 615, Jersey City, NJ 07302.

The NFS BCP is available at http://www.nationalfinancial.com/legal/business_continuity.html


NFS Account Access URL: http://www.mystreetscape.com/my/msiebert

Siebert Contact Telephone Numbers:
Trading
800-872-7865

Customer Service
800-872-0444

New Accounts
800-872-0711

Tech Support
800-773-2980

NJ Executive Offices
877-327-8379
212-644-2400

Boca Raton Branch
800-728-3352
561-368-8611

Beverly Hills Branch
800-872-0444

Siebert Locations:
New Jersey/Tri-State Area
Jersey City - 15 Exchange Place, 6th Floor, Suite 615

South/East Florida Area
Boca Raton - 4400 N. Federal Highway, Suite 152

Southern California Area
TBD





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