Managed Account Services, LLC has developed a Business Continuity Plan designed to guide our response to events that may significantly disrupt our business. Since the timing and impact of disruptions is unpredictable, our plan provides flexibility to respond to actual events as they occur. With that in mind, we are providing you with the following information regarding our business continuity plan.

Contacting us: If, after a significant business disruption, you cannot reach us as you normally do at (610) 225-6030, you should call our alternate numbers as follows:

(609) 921-8989
(609) 873-8629

During a significant business disruption, we will re-establish telephone service with our clients as soon as possible. You should check our website (www.clearbrookfinancial.com) for the latest information. We recognize that you may need to access your account to sell a position or request a check before we re-establish telephone service. During this time, First Clearing,LLC ("First Clearing"), our clearing firm, will assist you with sell or liquidation orders and provide check disbursements, if needed. If you cannot contact our firm using any of the numbers provided above, please call First Clearing for assistance at (877) 496-3223.

Our Business Continuity Plan: We plan to quickly recover and resume business operations after a significant business disruption. We will respond to a significant business disruption by safeguarding employees and property, making financial and operational assessments, protecting our books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit us to resume operations as quickly as possible in light of the scope and severity of the business disruption.

Our business continuity plan addresses the following critical aspects of our business including: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our clearing firm, First Clearing, LLC, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, First Clearing has advised us that its objective is to recover operations within four hours and resume accepting new transactions and payments within the same business day. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions: Significant business disruptions can vary in their scope, such as one which only affects our operation, one which affects the business district in which we are located or one which affects the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In the case of a disruption to one of our facilities, we will transfer operations to our closest unaffected site and expect to recover and resume business within four hours. If a disruption is more widespread, we will transfer our operations to a site outside of the affected area and expect to recover and resume business within 24 hours. In either situation, we plan to continue conducting business and will transfer critical functions to our clearing firm, if necessary. We will also communicate new contact information to you either by telephone, through electronic mail (e-mail), in postings to our website (www.clearbrookfinancial.com) or by U.S. mail. If the significant business disruption is so severe that it prevents us from remaining in business, our clearing firm will assure our customers’ prompt access to their funds and securities.

For more information: If you have questions about our business continuity planning, please contact us at (610) 225-6030 and ask to speak with our Chief Compliance Officer.