For Clients of NobleBridge Wealth Management
The following is a general description of plans in place at NobleBridge Wealth™ Management, LLC (“NBWM”) to maintain business continuity in the event that operations are disrupted for any reason. Because our clients elect to choose the custodian of their account or broker-dealer for trade execution and processing services, we also present general contact information and description of contingency plans for our primary platform providers of services.
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 customers to transact business.
Contingency planning at NobleBridge Wealth Management
Our process consists of two major components: written business contingency plans and data security along with recovery:
- Business contingency plans:
- NBWM designs specific, formal plans to respond to a range of incidents—from worst-case scenarios, such as loss of a data center, buildings, or staff, or occurrences such as power outages or excessive phone volumes.
- These plans are regularly reviewed and updated to accommodate changes in contingency requirements.
- Data security and recovery:
- Data security is, of course, a top priority. To mitigate computer virus attacks and other acts of cyber terrorism, we have implemented controls and monitoring of information security.
Maintaining business as usual
Whether the disruption occurs at our locations, citywide, or in our region, we and our partners are prepared to relocate technology and operations personnel to pre-assigned alternate regional locations.
Steps you can take if NobleBridge Wealth Management, LLC is interrupted
In the event that NBWM or NBWP experience a significant business interruption, you may contact the appropriate custodian or broker-dealer of your account(s).
Interactive Brokers
Instructions to Interactive Brokers must be stated in writing, phone, email, faxes and can be transmitted as follows:
- Send mail to: Interactive Brokers LLC, P.O. 209 South LaSalle Street, 10th Floor, and Chicago, IL 60604
- Send faxes to: 312-984-1017
- Call (312)-542-6900 for direct account representatives or recorded instructions.
- Visit the Business Continuity and Other Disclosures link at the bottom of the home page on the Interactive Brokers website at www.interactivebrokers.com.
Vanguard Group, Inc.
Instructions to the Vanguard Group, Inc. may be stated in writing, phone, email, and can be transmitted as follows:
- Send mail to: Vanguard P.O. Box 1110, Valley Forge, PA 19482-1110
- Call (800)-992-8327 for direct account brokerage services representatives or recorded instructions.
- Call (877)-662-7447 for direct mutual fund account services representatives or recorded instructions.
- For Vanguard Group, Inc., visit the Security Center and Other Contact links at the home page of the Vanguard website at www.vanguard.com.
LPL Financial
LPL Financial performs all clearing functions and holds customer funds or securities on our behalf. All transactions are sent to LPL Financial, which executes our orders, compares them, allocates them, clears and settles them. LPL Financial also maintains our customers' accounts, can grant customers access to them, and delivers funds and securities.
LPL Financial is located at the following locations and through their website at: www.lpl.com.
The LPL Financial service center can be contacted at 800-877-7210 for emergency assistance.
If customers are unable to reach the dual registered Representatives to place trades they can contact LPL Financials’ Service Center at (800) 558-7567 directly.
LPL Financial is located at:
|
Boston LPL Financial 75 State Street, 24th Floor Boston, MA 02108 |
Carolinas (Fort Mill) LPL Financial 1055 LPL Way Ft. Mill, SC 29715 |
San Diego, CA LPL Financial 4707 Executive Drive San Diego, CA 92121 |
Charles Schwab & Co., Inc.
Instructions to Charles Schwab & Co., Inc. must be stated in writing, phone, email, faxes and can be transmitted as follows:
In the event that NBWM experiences a significant business interruption, Charles Schwab may be contacted directly to process limited trade-related transactions, cash disbursements and security transfers. You may also contact Charles Schwab by calling 1-800-515-2157.
Contact us with any questions
The preceding descriptions are general overviews of NBWM and NBWIA require more specific information, an associate will be happy to help you. Call us at 866-798-0354 or 973-255-4968 on business days between 9 a.m. – 5 p.m., EST. We can also be reached by email at info@noblebridgewealth.com