Business Contingency Planning and Disaster Recovery at NobleBridge Wealth Management

For Clients of NobleBridge Wealth Management

The following is a general description of plans in place at NobleBridge Wealth™ Management, LLC (“NBWM”) and NobleBridge Wealth™ Partners, LLC (“NBWP”) 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.

 

Pershing Advisor Solutions LLC

Instructions to Pershing Advisor Solutions LLC must be stated in writing, phone, email, faxes and can be transmitted as follows:

If you are unable to contact your investment advisor due to a significant business interruption, Pershing Advisor Solutions may be contacted directly by you to process limited trade-related transactions, cash disbursements and security transfers. Such instructions to Pershing Advisor Solutions must be in writing and transmitted via facsimile at (201) 413-4444 or postal service as follows:

 

  • Send mail to: Pershing Advisor Solutions LLC, P.O. Box 2065, Jersey City, NJ 07303-2065
  • For additional instructions, please select the Business Continuity and Client Support links at the bottom of the home page on the Pershing Advisor Solutions website at pershingadvisorsolutions.com, or contact Pershing Advisor Solutions at (877) 604-8967.
  • You may contact Pershing directly to process limited trade related transactions, cash disbursements and security via facsimile at (201) 413-5368 or by postal service as follows: Pershing LLC, P.O. Box 2065, Jersey City, NJ 07303-2065

 

For additional information about how to request funds and securities when Pershing Advisor Solutions cannot be contacted due to a significant business interruption, please call (201) 413-3635 for recorded instructions. If you cannot access the instructions from this telephone number, Pershing may be contacted at (213) 624-6100, extension 500, as an alternate telephone number for recorded instructions.

 

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 NBWP 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 NBWP require more specific information, an associate will be happy to help you. Call us at 866-798-0354 or 973-632-4577 on business days between 9 a.m. – 5 p.m., EST. We can also be reached by email at info@noblebridgewealth.com