Emergency Contact Persons
Harbor Financial Services, LLC’s two emergency contact persons are: Marc Whitehead, 251-650-0840 or 251-605-1213, mwhitehead@harborfs.com and Stacey Lavender, 251-650-0840 or 251-533-4770, slavender@harborfs.com. These names will be updated in the event of a material change, and our Executive Representative will review them within 17 business days of the end of each quarter.
Firm Policy
Harbor Financial Services, LLC’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will assure customers prompt access to their funds and securities by calling Raymond James & Associates at 800-248-8863.
Significant Business Disruptions (SBDs)
Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only Harbor Financial Services, LLC’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of Raymond James & Associates.
Approval and Execution Authority
Marc Whitehead, a registered principal, is responsible for approving the plan and for conducting the required annual review. Marc Whitehead and/or Stacey Lavender have the authority to execute this BCP.
Plan Location and Access
Harbor Financial Services, LLC will maintain copies of its BCP plan and the annual reviews, and the changes that have been made to it for inspection. An electronic copy of our plan is located on our website and is electronically backed up in three different locations offsite.
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