Bernardi Securities, Inc. is committed to assisting our clients in achieving their financial and investment goals. To ensure that this process is uninterrupted, we have designed a Business Continuity Plan that covers unexpected events that may affect our business and the customer accounts we administer.

Bernardi Securities, Inc. has an ongoing and comprehensive plan in place that is designed to help us respond to, and recover from, significant business disruptions. We developed this plan to protect the interests of our clients, employees, and trading partners, and to support the core functions of our business. Highlights of the plan include:

Our plan addresses a number of situations that could potentially inhibit our ability to transact business from our home office. We update this plan as needed and test it on an annual basis.

Additionally, Pershing LLC also maintains a business continuity plan. All Pershing operational facilities are equipped for resumption of business and are tested several times per year. In the unlikely event that you are unable to contact Bernardi Securities during a business disruption, you may contact the Pershing emergency contact department directly at (201) 413-3635.

We believe that our plan is comprehensive and thorough. However, given the unpredictable nature of events that may disrupt business, no assurance is given that our business continuity plan will mitigate all risks and cover all possible contingencies.

If you have any questions regarding our Business Continuity Plan, please contact Eric Bederman, Chief Compliance Officer.