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Dunham & Associates has developed a Business Continuity Plan (BCP) to
respond to varying events that may significantly disrupt our business, from a
loss of use of our building to a regional emergency. It is, however, impossible
to predict every scenario.
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Although we are confident in our preparedness, we have no control over the
various entities upon which we must rely in the event of an emergency and can
offer no assurance that we will remain functional through any and all
imaginable emergencies.
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That being said, the following are aspects of our BCP of which you should be
aware of...
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Dunham & Associates does not hold any investor assets. All client assets
are held at nonaffiliated third-party firms such as mutual fund companies,
clearing firms, insurance providers, money managers, etc.
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If your registered representative is unable to contact our home office, he/she
may contact those firms holding your accounts directly to effect business on
your behalf. In the event that you are unable to contact us or your registered
representative due to a business disruption at the representative’s location,
you may contact our affiliate,
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Dunham Trust Company, in Reno, Nevada, at (888) 438-6426.
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Our BCP provides for the establishment of operations at alternate location(s)
within 24 hours at the latest for regional emergencies and, normally, without
any disruption in coverage whatsoever for other events.
The recovery and business continuity plan of Dunham & Associates Investment Counsel, Inc.
is subject to modification without notice and updates will be posted promptly on this
website.
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