Business Continuity Plan Disclosure Statement

 Teckmeyer Financial Services 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 (402) 331-8600 and/or info@teckmeyerfinancial.com, you should contact the president or vice president via cell phone.  Those numbers are (402) 301-4486 for Tom Teckmeyer and (402) 871-3855 for Joe Hearn.  You can also visit our website at www.teckmeyerfinancial.com to look for emergency messages that we may post there.  If you cannot access through either of those means, you should contact Mark Rohlik at our clearing firm, RBC Correspondent Services.  That number is 1-866-506-8596.  His email address is mark.rohlik@rbc.com.  Mark will be able to give you instructions on how RBC can provide prompt access to your funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for you.

Our Business Continuity Plan—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.  In short, 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 business continuity plan addresses: data back up 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.

Our clearing firm, RBC, backs up our important records in a geographically separate area.  While every emergency situation poses unique problems based on external factors, such as time of day severity of disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments usually within the same business day as the disruption.  Your orders and requests for funds and securities could be delayed until we or our clearing firm are able to respond to and recover from any particular business disruption.

Varying Disruptions—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 a matter of days.  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 with a matter of weeks.  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.teckmeyerfinancial.com or the previously listed cell phone numbers how to contact us.  If the significant business disruption is so severe and it prevents us from remaining in business, we will assure our customer’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 (402) 331-8600 or info@teckmeyerfinancial.com.  A statement regarding the business continuity plan of our clearing firm is posted below.

RBC Business Continuity Planning Statement

RBC Correspondent Services (“RBC”), which provides clearing and execution services for correspondents of RBC Correspondent Services (“RBC CS”), maintains important disaster recovery and business continuity plans that may be activated in the event of a significant business disruption.  The firm realizes the critical nature of being able to continue material operations if an incident occurs that could affect mission-critical business units and systems.  These plans are key components in maintaining emergency procedures, and are required by securities industry regulations.

 In planning for potential significant business disruptions, RBC has studied a number of outcomes from varying scenarios, including, as examples only, a disruption to a single building, a city-wide business disruption, and a regional disruption.  The firm’s plans are intended to permit the continuation of key business operations during most types of disruptions by resuming mission-critical operations, usually within the same business day as the disruption.  To assist this business continuity, the firm maintains back-up technology processing capabilities in alternate locations.  In cases of an extreme disruption, where the continuation of business may not be practical or in the best interest of the firm or its clients (including RBC CS’ correspondents and their customers), RBC has implemented steps necessary to allow clients prompt access to their funds and securities.

However, clients should be aware that because the firm’s plans contain details of a confidential and proprietary nature, they cannot be distributed to the public.  Clients should also note that RBC's business continuity plan is subject to modification, and that updated plans will be promptly posted on RBC's Web site, as permitted by applicable law.