Business Continuity


Our firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our clients to transact business. In the event that we determine we are unable to continue our business, we will attempt to notify clients as soon as possible by normal preferred methods of communication.

Since TD Ameritrade Institutional maintains custody of clients’ funds and securities, clients also may contact TD Ameritrade Institutional (800-431-3500) directly as needed to place orders or instructions in the event of a SBD.

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