Business Continuity Plan

Buckman, Buckman & Reid, Inc., (BBR) in conjunction with our clearing firm, RBC Correspondent Services, LLC, have back-up systems in place to help ensure your transaction data and other account information are protected in the event of a disaster. In conjunction with our clearing firm, we have strategies for single site, multiple site, and regional outages, with their critical functions separated over different locations — New York City, Minneapolis, St. Louis, California, and Illinois. From phone systems and wire traffic, to transportation of BBR associates to other sites, the BBR and RBC contingency plans are tested periodically to help ensure minimal interruption in the event of a disaster or major business interruption.

In the event of a business disruption, customers can contact Buckman, Buckman, & Reid's clearing firm via the internet or telephone in order to conduct business. The contact information is:  RBC Correspondent Services,, or, 1-888-462-1816, or Dennis Hollenkamp at (314) 589-5770 (St. Louis, MO), Paul Meehl at (612) 607-8998 (Minneapolis, MN), or Brian Caputo at (212) 618-2575 (New York, NY)

In the event of inclement weather disruptions:

  • If there is a forecasted severe weather emergency (e.g. snow, hurricane, tornado), hotel rooms may be obtained for essential personnel. If the weather emergency could result in an inability to access the primary site, an alternate site would be prepared for use, and personnel would be sent there. A number of personnel have remote access so they can work from home. Employees can access voice mail and e-mail messages remotely.
  • Pandemic – BBR's strategy is designed to address preparedness and response to a pandemic, with the intent of stopping, slowing, or otherwise limiting the spread of a pandemic and mitigating impact to our sites, our business functions, and our customers. Other potential scenarios include a military, biological, or chemical "event" in or near a location in which the firm conducts business.

BBR plans also include the ability to recover from situations such as unplanned evacuations, power outages, major water leaks, fires, loss of water, and any facilities failure that may cause significant business interruption. Planned recovery times will vary depending on the nature and severity of the event.

Should there be a significant disruption, clients are encouraged to visit BBR's website at for additional, current recovery estimate information.  You may contact the firm's clearing agent as listed in this statement.

Communications with Regulators – BBR will communicate with its regulatory authorities regarding the nature and extent of any significant outage at a primary location, as required by applicable law and regulation including estimated planned recovery time.

BBR's usage and updating of its "Emergency Call Trees" will ensure accurate and current information for its customers regarding mission critical systems status effect and anticipated recovery time.

Money Movement – BBR has relationships with its clearing firm and banks to support money movement activities for the necessary settlement activity and regulatory requirements, as well as to support client money movement activities.

Access to Your Funds – Your ability to trade your available funds may be impacted by market events outside of our control. In the event that BBR ceases operations, customers can call RBC at 1-888-462-1816.

The recovery objectives may be negatively affected by the unavailability of external
resources and circumstances beyond the Firm's control. If you have any questions, please contact BBR's Compliance Department at 800-531-0303.