The independent financial advisor that you have chosen is associated with, and supervised by, G.A. Repple & Company, a registered Broker/Dealer and Investment Advisor. Together, your financial advisor and this firm recognize the importance of maintaining the highest possible quality of services for your accounts with us.

The Financial Industry Regulatory Authority (FINRA, formerly NASD) which makes rules to protect you, the investor, has directed us to devise plans to respond to a variety of possibilities that might disrupt our ability to provide continuous service to you. They have also directed us to provide a summary of this information to you.

Business Interruptions

Our team is developing plans that include the ability to recover from situations of varying severity that include, but are not limited to, unplanned evacuations, power outages, major water leaks, fire, severe weather and any facilities failure that may cause business interruptions. We are designing our plans to prioritize our responses according to their time criticality. Key features of the plans would include employee safety considerations, annual reviews and testing by various departments to assure that our plans are effective.

Our Business Partners

• If a business interruption occurs at G.A. Repple and Company, you should be able to access your account information by contacting either your financial advisor or the investment company with whom you have your account. You should consult a recent statement for a phone number to contact the investment sponsor.
• If your account is a brokerage account with National Financial Services, LLC [NFS], you may have account access via MyStreetscape, or by calling your financial advisor. NFS is also required to have and distribute to all customers a copy of their own plan for handling any business interruptions. You may receive a copy of that summary in addition to this one.

Business Continuation

It is our intent to recover from any business interruptions as quickly as possible. Our plans call for the use of generators in the event of loss of power lasting longer than four hours. In the event that our physical plant is damaged, it would be our intent to move to a secondary location in order to resume normal operations as quickly as possible. To protect our computer data, we have installed information backup systems and redundancy methods. We have also implemented an off site storage process to safeguard our backup copies. In the event that damage was extensive and widespread, we would plan to re-locate our offices in an unaffected location and resume operations from there.

Notifications

• In the event G.A. Repple & Company’s business is interrupted, we would attempt to notify our associated financial advisors as quickly as possible. We will request NFS to assume control of trading and account functions until we can resume normal operations. We may also delegate supervisory responsibility to other management level personnel at other locations in the event of a business interruption.
• G.A. Repple & Company will communicate with its regulatory agencies regarding the nature and extent of any significant outage as required by law.

Plan available for review

You may request a copy of the current Business Continuity Plan at any time by writing to us at the email below.

Rev. 4-19-2013
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