At both Rothschild Investment Corporation and our clearing firm, we maintain a business continuity plan to address any interruptions to our normal course of business so that you always get the attention you need without interruption.

Our firm’s plan details the steps we will take to perform a risk assessment in the event of an internal business disruption-which is unique to our firm, or any external business disruption-which covers all city-wide and more substantial wide-scale regional disruptions. These plans ensure that we are readily prepared to relocate any and all technology and personnel if necessary to alternate safe locations. In the event of a significant business disruption to our office or practice, our plan is designed to resume business within four hours. However, this objective may not be achievable in every situation due to circumstances beyond our control.

Should business resumption not be achievable promptly, our customers will be contacted and properly instructed on how to deal directly with our clearing firm so that you may access your funds and securities. Our clearing firm tests its operational facilities for business resumption several times per year as a preventative measure. If instructed, customers should contact our clearing firm directly at:

Pershing LLC
PO Box 2065
Jersey City, NJ 07303-2065
(201) 413-3635 o
(201) 413-5368 f
www.pershing.com

We provide this disclosure statement to our customers at account opening, and we will also provide this disclosure to our customers annually on their monthly statement.