International Trading Desk
(630) 235-4089
U.S. Trading Desk
(630) 789-0607
Member NASD and SPIC · 100% Woman Owned Business (WBE/FBE) · Native American

Business Continuity Plan - Disclosure

ELECTRONIC COMMUNICATIONS DISCLOSURE
M. Ramsey King Securities Inc. reserves the right to monitor, review, forward and retain all business-related electronic communications, including instant messaging, sent to or by its employees. All electronic communications with M. Ramsey King Securities Inc. should have no expectation of privacy regarding such communications. M. Ramsey King Securities Inc. cannot guarantee that orders to buy or sell securities submitted via e-mail or instant messaging will be executed timely or at all. Clients are encouraged to speak to M. Ramsey King Securities Inc. direct, regarding transactions of an urgent nature.

BUSINESS CONTINUITY NOTICE
M. Ramsey King Securities, Inc. (MRK) has developed a Business Continuity Plan on how MRK will respond to events that significantly disrupt our business.  Since the timing and impact of any disaster and disruption is unpredictable, MRK will be flexible in responding to actual events as they occur.
 
BUSINESS CONTINUITY PLAN
MRK plans to quickly resume business after a significant business disruption has occurred.  MRK will respond by safeguarding MRK employees and property, making a financial and operational assessment, providing the firm’s books and records, and allowing our customers to transact business. To Contact Us – If after a significant business disruption you cannot contact us at 630-789-0607 (our equity trading desk), you should call our alternative number 630-706-1665, and/or 630-776-7810 or view our website (http://www.mramseyking.com). If you cannot access us through either of those means, you should contact our clearing firm, Pershing at 201-413-2001 or its website (http://www.pershing.com) for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for your account.
 
Our clearing firm, Pershing, backs up our important records in a geographically separate location.  While each and every emergency situation poses a unique problem, Pershing has advised us that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 4 hours.  Orders and requests for funds and securities though could be delayed during this period.
 
For more information – If you have questions about MRK’s business continuity plan, contact MRK’s Compliance Department at 630-789-0607.