FINANCIAL ADVISORY SERVICE, INC., 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
913-239-2300, you should call our customer emergency number, 816-804-3139, or go to our web site at
www.faskc.com. If you cannot access us through either of those means, you should contact the qualified
custodian of your account at the number listed below for instructions on how it may: provide prompt
access to your funds and securities, enter orders and process other trade-related, cash, and security
transfer transactions for your investment account(s).
Charles Schwab &Co.: 1-800-515-2157
Fidelity Investments: 1-800-544-6666
TD Ameritrade: 1-800-431-3500, option #1
Our Business Continuity Plan – Every emergency situation poses unique problems based on external
factors, such as time of day and the severity of the disruption. 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. The business continuity plan is designed to permit the firm to
resume operations as quickly as possible, given the scope and severity of the significant business
disruption. Your orders and requests for funds and securities could be delayed during this period.
The business continuity plan addresses: data back up and recovery; all mission critical systems; financial
and operational assessments; alternative communications with clients, employees, and regulators;
alternate physical location of employees; critical supplier, contractor, bank and counter-party impact;
regulatory reporting; and assuring our clients prompt access to their funds and securities if we are unable
to continue our business.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only the 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 the firm or a building housing the firm, we will transfer our
operations to a local site when needed and expect to recover and resume business within 24 hours. 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 48 hours. In either situation, we plan to
continue in business, transfer operations to our alternate site if necessary, and notify you through our web
site www.faskc.com or our customer emergency number, 816-804-3139 on how to contact us. If the
significant business disruption is so severe that it prevents us from remaining in business, we will assure
our client’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 913-239-2300. |
