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Business Continuity Summary

Business Continuity Summary

Dominion Investor Services, Inc. and Dominion Portfolio Management, Inc. (DOMI) have developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information about our Business Continuity Plan. 

  • Contacting Us – If, after a significant business disruption, you cannot contact your assigned representative as usual or Dominion at (210) 265-8050 or (800) 929-5667, you should call our alternate number (210) 865-5530 or go to our website at www.domiinvestors.com. If you cannot reach us through any of those means: (1) If you have a brokerage account, you should contact our clearing firm, Hilltop Securities, at (800) 678-3792 or www.hilltopsecurities.com for instructions on how to execute, clear and settle your trades or how to have funds disbursed from your account; or (2) if you have a mutual fund or variable annuity account held directly through the provider, contact the provider directly using the phone number or website listed on your statement. Refer to the statement(s) you normally receive to determine which type(s) of account(s) you have.  
  • Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. A significant business disruption at our primary office in Horseshoe Bay, Texas should not affect your assigned representative's ability to transact business in your account. In short, our Business Continuity Plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.  
  • Our Business Continuity Plan addresses: data back-up recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, band 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, Hilltop Securities, and our mutual fund and variable annuity direct providers back-up our important records in geographically separate areas. While every emergency poses unique problems based on external factors, such as time of day and the severity of the disruption, our clearing firm has advised us that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within four hours. 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 only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within four hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within two days. In either situation, we plan to continue in business by transferring brokerage operations to our clearing firm.  As stated earlier, if your area and assigned representative are not located in the affected disruption area, you should contact your assigned representative as you normally would. Our systems and procedures are designed to allow your representative's local office to perform mission critical trading operations independently. Should your local representative also be affected, we will notify you through our website at www.domiinvestors.com or our customer emergency number (210) 865-5530 on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will ensure our customer's prompt access to their funds and securities.  
  • For More Information – Should you have questions about our Business Continuity Plan Summary, please contact your assigned representative or you may call us at (800) 929-5667.

Dominion Investor Services,Inc.  Member FINRA and SIPC