Business Continuity Plan
American Independent Securities Group, LLC (AISG, LLC), has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contact Us: If after a significant business disruption you cannot contact us as you usually do at 1036 E. Iron Eagle Drive, Suite 105, Eagle, Idaho 83616, (208) 489-3131 or toll-free (866) 485-4635 you should use our alternative number, (208) 489-3123. If you cannot access us through either of those means, you should contact our clearing firm, RBC Correspondent Services at (800) 949-0242 for instructions on how they may assist you in providing prompt access to your funds and securities, enter orders and process other trade-related, cash, and security transfer transactions.
Our Business Continuity Plan: We plan to quickly recover and resume business operations after a significant business disruption (SBD) and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our Business Continuity Plan (BCP) Addresses: Data backup and recovery; all mission critical systems, financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counterparty impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business. Our clearing firm, RBC Correspondent Services, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within two (2) hours. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions: Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within two (2) hours. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through local media or our customer emergency number, (208) 489-3123, how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.
For More Information: If you have questions about our business continuity planning, you can contact us at 1036 E. Iron Eagle Drive, Suite 105, Eagle, Idaho 83616, (208) 489-3131 or toll-free (866) 485-4635.
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Municipal Securities Rulemaking Board
Municipal Securities can provide additional opportunities (and risks) for your portfolio. Transactions in Municipal Securities are regulated by the Municipal Securities Rulemaking Board. As will all investments, clients should understand the nature of the investment.
FINRA Anti-Money Laundering Disclosure
Important Information About Procedures for Opening a New Account: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means to you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents.
In the event you have a complaint with your Registered Representative, or with our firm, please direct the written complaint to: American Independent Securities Group, LLC, Attn: Compliance, 1036 E. Iron Eagle Drive, Suite 105, Eagle, Idaho 83616.
Payment for Order Flow
Unless otherwise instructed, your brokerage firm and/or its clearing agent routes equity orders taking into consideration, among other factors, the quality and speed of execution, as well as the credits and cash payments receivable from any exchange, other broker dealers and other market center. Whenever possible, your brokerage firm and/or its clearing agent will also attempt to obtain the execution regardless of any compensation your brokerage firm may receive. Your brokerage firm and/or its clearing agent may use the compensation received to help keep costs competitive and provide clients with quality execution services. The nature and source of payments and/or credits received in connection with a specific transaction will be furnished upon written request.
Notice of Availability of Order Routing Information - RBC Correspondent Services prepares quarterly reports describing its order routing practices for non-directed orders routed to a particular venue for execution. These reports are publicly available at www.tagaudit.com. RBC Correspondent Services will furnish a printed copy of the quarterly report upon written request. In addition, RBC Correspondent Services will provide on request more detailed information relating to the routing of any order in the six months prior to the request.
Investing in securities involves risks, and there is always the potential of losing money when you invest in securities. You should review any planned financial transactions that may have tax or legal implications with your personal tax or legal advisor.
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