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Business Contingency Planning and Disaster Recovery at NobleBridge Wealth Management
For Clients of NobleBridge Wealth Management
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
Steps you can take if NobleBridge Wealth Management, LLC is interrupted
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