Business Continuity Plan Summary

The Glen Eagle Advisors, LLC Business Continuity Plan (“BCP”) describes how we will respond to events that may significantly disrupt our daily business operations. Significant business disruptions could come about as a result of natural or man-made disruptions (e.g. electrical outages) or disasters (e.g. building fire) that would prevent personnel from being located in and functioning normally in our office locations.

Since the timing of disasters and disruptions is inherently unpredictable, we will be flexible in responding to actual events as they occur. The BCP is routinely reviewed and updated with new information that is pertinent primarily to Glen Eagle Advisors management and staff as well as our associated financial professionals.

Clients should first attempt to contact their own financial professional using the phone numbers and e-mail addresses provided to them. Clients unable to contact their financial professional should call Glen Eagle Advisors at toll free 1-866-912-1440, or 609-631-8231.

Glen Eagle Advisor's Business Continuity Plan

Glen Eagle Advisors plans to quickly recover and resume business operations after a significant business disruption. Once safety of company personnel and protection of firm assets and office contents is attained, management will next assess whether the business disruption results in the need to take extraordinary steps to operate the business outside the norm. Our assessment will include financial and operational considerations, protecting the firms’ books and records, and allowing our financial professionals and their customers to transact business.

Our BCP permits our firm to resume operations as quickly as possible, given the scope and severity of the business disruption. The plan addresses the ability to communicate with regulators, our clearing firm Pershing LLC, key vendors, our associated financial professionals and clients. The plan calls for ensuring telephone communications will be available within 6 hours of an SBD, often much less time will be required, barring significant damage to the telecom provider’s infrastructure. The firm’s routine access to the clearing firm platform and e-mail depends on the availability of the Internet. The firm can, if necessary, perform all basic functions to support the daily requirements of financial professionals and their client without having to be in the physical home office location, thereby providing business continuity. However, if the Internet is unavailable for whatever reason, our clearing firm has the ability to telephonically accept security trades, and provide clients access to their funds.

Should reconstruction of the firm’s network and physical space be required, the firm will take the necessary steps to quickly re-establish the necessary telecom and data infrastructure, and setup temporary space in which to operate, while more permanent solutions are pursued.

Contacting Glen Eagle Advisors

Phone calls made to Glen Eagle Advisors will be answered be answered immediately from the hours of 8:30 AM to 6 PM, or if they are directed to a voice mail box, will be returned as soon as possible. Request for securities trades that are left on voice mails with their financial professional or with the firm will not be executed. Since the firm requires direct communication with the client regarding securities transactions, we recommend that if a voice message is left, that the client leaves a phone number.

For More Information

If you have questions about our Business Continuity Plan Summary, feel free to contact us toll free at 1-866-912-1440 or by e-mail at Info@GlenEagleAdv.com.

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