McLaughlin Ryder Investments

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  • 1421 Prince Street, Suite 200
  • Alexandria, VA 22314
  • P: 703.684.9222
  • F: 703.684.9224
  • Toll Free: 866.684.9222

Legal

Securities cleared and accounts held through Pershing, LLC - a Bank of New York Mellon Company.

THE BANK OF NEW YORK MELLON
PERSHING, LLC
Member New York Stock Exchange
SEC Rule 606(formerly SEC 11Ac1-6)
SEC

FINRA

STATEMENT OF COMPANY POLICY ON CUSTOMER PRIVACY

This notice is provided on behalf of McLaughlin Ryder Investments, Inc.  Please read this notice carefully and retain it for your records. No action is required on your part.

 

Our Privacy Commitment to You

Your trust is of paramount importance to us. That is why we are committed to protecting your personal information. This notice explains the way we use and protect your personal information.

Information We Collect

We collect information about you in order to properly document your account(s) and to provide you with excellent customer service. The majority of your personal information that we maintain comes directly from you. We collected this information on the paperwork you completed when opening your account(s) and in subsequent communications between you and your advisor. That information may include, but is not limited to, the following: your name, address, birth date, phone numbers, email address, social security number, and specific financial information.  We also may receive information from governmental agencies and/or independent reporting agencies.

 

How We Use and Share Your Personal Information

We use the information to determine the suitability of investments we are recommending to you. We must continuously use our best efforts to obtain relevant information in order to determine if the financial advice we provide is suitable for you.

We do not sell or share your information with outside marketers. We will not disclose information regarding you or your account except to our clearing firm (Pershing, LLC), government entities, or other third parties in response to subpoenas or other legal process as required by law.

 

We Safeguard Your Personal Information

We maintain physical, electronic and procedural security measures in compliance with applicable state and federal regulations to safeguard confidential client information. We restrict the access of your personal information to those individuals within McLaughlin Ryder Investments, Inc. who need it to fulfill our service obligations to you.

Should you end your relationship with us, we will maintain your records according to the requirements established by the U.S. Securities and Exchange Commission (SEC). We will continue to protect your personal information in accordance with our privacy practices as outlined in this document.

 

Changes to This Privacy Policy

We are required by law to send you our Privacy Notice at least once a year. If we make any substantial changes to the way we use or disseminate confidential information, we will notify you within thirty days.

 

Business Continuity Plan

 

McLaughlin Ryder Investments, Inc. has 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 is 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 on our business continuity plan.

 

Contacting UsIf after a significant business disruption you cannot contact us as you normally do at (703) 684-9222, you should call our alternative number(s) (703) 929-0971 and (571) 201-4290, Shawn McLaughlin and Michelle Glicklin, respectively, or fax us at (703) 684-9224.

 

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.  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 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.

 

Varying Disruptions – Significant business disruptions can vary in their scope, such as impacting 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 1 day.  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 1 week.  In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our customer emergency number listed above.  If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities.

 

For more information – In the event of a business disruption of any length we invite our clients to visit our website — www.mclaughlinryder.com — often as we intend to post important instructions, messages and emergency phone numbers for assistance during our business disruption.

 

If you have questions about our business continuity planning, you can contact Michelle Glicklin at (703) 684-9222 or mglicklin@mclaughlinryder.com