Business Continuity

Program Overview

In accordance with the Financial Industry Regulatory Authority (FINRA) rules 3510 and 3520 Hennion & Walsh Inc. and its affiliates (Hennion and Walsh or the "firm") has created a plan to allow us to continue operation of our critical business functions. The firm plan includes:

Identification of mission critical systems;
An alternative location for operations;
An employee notification/relocation plan to ensure that Hennion & Walsh employees receive information and instructions in the event of an emergency;
A communication plan with local authorities to facilitate information flow;
A computer system that allows the firm to recover mission critical information and,
insures that the information can be retrieved at an alternative site, if necessary.

Client assets are held by our clearing firm, First Clearing, LLC, they are located at PO Box 6600, Glen Allen, VA 23058. Their telephone number is (800)727-0304. All securities are held in central depositories or custodian banks. Ownership records are maintained by First Clearing, LLC at multiple data sites to assure recovery in the event of an emergency.

Hennion & Walsh will respond to any disruptive event as rapidly as possible. For local short term events customers may experience longer than normal response times with the firm. Events of a larger scope, where relocation is necessary the recovery time should be no more than four (4) hours.

Hennion & Walsh realizes that no plan is failsafe and we cannot guarantee that systems will always be available after a disaster or significant business disruption. To that end the firm will continually monitor and test the plan. We will adjust and upgrade all mission critical systems as needed.

In the event of a business disruption, customers are encouraged to visit our web site at www.hennionandwalsh.com where explicit contact information will be available.

If you have any questions please contact Al Vermitsky, Chief Compliance Officer at (800)836-8240