Summary of Bradley Woods & Co. Ltd.’s Business Continuity Plan
FINRA Rule 4370 requires firms to create and maintain business continuity plans (BCP) to use in the event of a significant business disruption. Bradley Woods maintains a business continuity plan in the event of a significant business interruption. This plan is reviewed annually and updated as necessary.
Our plan outlines the actions Bradley Woods will take in the event of a building, city-wide, or regional incident. In the event that you cannot contact us due to such an incident, you may contact either Bernard Herold & Co., Inc. at (212) 371-3950 or our clearing firm, Pershing LLC, at (201) 413-3635 for recorded instructions. For limited trade related transactions, cash disbursements, and security transfers instructions to Pershing must be in writing and faxed to (201) 413-5368 or sent by postal service to:
Pershing LLC
P. O. Box 2065
Jersey City, NJ 07303-2065
For further information you may go to their websites at www.heroldinc.com or www.pershing.com respectively.
Bradley Woods intends to continue doing business as soon as possible after any disruption. We will have our main phone routed to our back up site immediately. We will get our information of a new location and contact information by any means capable based on the type of disruption. Our business continuity plan is available to our customers upon request. You may contact us at our main number, (212) 826-9191.