Dougherty & Company LLC Innovative Financial Solutions Nationwide

Business Continuity Plan

Dougherty & Company is committed to providing uninterrupted service and support to our clients. We are cognizant that uncontrollable events can cause disruption to normal business processes ranging from a firm only disruption to a regional disruption with each situation creating different emergency situations. Dougherty & Company recognizes the responsibility to our customers to continue critical operations during such events. We are committed to maintaining effective communications with our clients during a business disruption and ensuring the Firm is reasonably accessible to our clients. The Firm’s goal is to meet the obligation with minimal interruption within 24 hours. The following components are addressed in our business continuity plan to ensure a quick and seamless recovery:

  • Maintaining alternative physical locations.
  • Providing alternative means of communication for customers to access accounts and transactions (during a disaster, call 800.328.4000 or access www.doughertymarkets.com for information).
  • Maintaining employee safety through ongoing communications.
  • Providing for the effective recovery of our records and preventing the loss of customer information and transactions.

While no contingency plan can eliminate all risk of service interruption or temporarily impeded account access, we continually assess and update our plans to mitigate all reasonable risk. You may obtain a current copy of this notice by contacting your investment executive or by accessing www.doughertymarkets.com.

This disclosure is subject to modification.