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IMPORTANT DISCLOSURES
This site is limited to the dissemination of general information about Evans Capital Management, Inc. and its subsidiaries, ECM Advisors, Inc., ECM Securities Corp. and Integrated Financial Services, Inc., collectively referred to as “ECM.”
ECM Advisors, Inc. is an investment adviser registered with the U.S. Securities & Exchange Commission. ECM Securities Corp. is a registered broker dealer and member of the Financial Industry Regulatory Authority. Integrated Financial Services, Inc. is a licensed insurance agency.
Nothing on this website should be construed as a solicitation, offer or recommendation of any specific product or service. ECM does not render services through this website. Our services are rendered only within the context of our contractual agreements with each client.
ECM may only conduct business in those states in which it is properly licensed and/or registered or qualifies for an exemption or exclusion from licensing and/or registration requirements. Any subsequent, direct communication by ECM with a prospective client shall be conducted by a representative that is either licensed and/or registered or qualifies for an exemption or exclusion from licensing and/or registration in the state where the prospective client resides.
ECM uses reasonable efforts to obtain information from sources which it believes to be reliable. Nevertheless, ECM makes no representation that the information or opinions contained on this site are accurate, reliable or complete. The information and opinions contained herein are provided by ECM for personal use and informational purposes only and are subject to change without notice. Nothing contained on this site constitutes investment, financial, legal, tax or other advice. Our services are rendered only within the context of our contractual agreements with each client.
When you access certain links on this website you may leave the ECM website. Any links to other sites are not intended as referrals or endorsements, but are merely provided to the users of the ECM website for convenience and informational purposes.
Disaster Recovery/Business Continuity
Evans Capital Management, Inc. has developed a Business Continuity Plan on how we will respond in the event of emergencies, natural disasters, man-made disasters or other situations that would be considered a significant business disruption (SBD) to our normal operations. The existence of a Business Continuity Plan does not guarantee that our company will continue to operate under any circumstances. We believe, however, that a certain reasonable amount of preparedness should be expected from any company, such as ours, that owes a fiduciary duty to its customers.
It is our intent to continue operating under all but the most severe SBD scenarios. We plan to recover quickly and respond by first safeguarding our employees and property, then making a financial and operational assessment, protecting the firm’s books and records, and allowing our clients to transact business. Our business continuity plan addresses numerous items, including: data back-up and recovery; mission critical systems; financial and operational assessments; alternative communications with employees, clients and regulators; alternate office locations; our relationships with critical vendors, banks and counterparties; regulatory reporting; and assuring prompt access to client funds and securities if we are unable to continue our business.
Evans Capital Management, Inc. (and its subsidiaries) does not maintain custody or hold client funds and securities, nor does the firm perform any type of clearing function for its clients or itself. Instead, such custody and clearing services are provided by a third-party such as Charles Schwab and Co., National Advisors Trust Company, Fidelity Investments, or the respective mutual fund and insurance companies that we work with. Each of these companies has their own respective data recovery and business continuity plans, and has advised us of their intent to restore operations and accept client transactions as quickly as possible. If you are unable to reach us due to an SBD, and wish to access funds or place a transaction in your account, we recommend that you contact your account custodian directly. The account custodian telephone number can usually be found on your latest statement. Depending on the severity and scope of the SBD, your orders and requests for funds and securities could be delayed.
Significant business disruptions can vary in scope. An SBD could affect just our building, the neighborhood where our firm is located, the city where we are located, or the entire region. For disruptions that are limited to our building, the neighborhood or the city, we intend to relocate and restore services within 2 – 3 business days. If we find it necessary to temporarily move our operations, we will attempt to notify you by telephone. Please understand that this may take from 24 to 48 hours. We may also place notices of such a move in local newspapers as well as on this website.
If the scope of the disruption is regional and would prevent us from using any of the above alternate sites, relocation and restoration of our services may take as long as 2 weeks. If the disruption is so severe that it prevents us from remaining in business, we will first assure our clients’ prompt access to their funds and securities, and then contact our regulatory authorities for further instructions and assistance in the transfer and/or closing of client accounts.
This summary disclosure and the Business Continuity Plan that it refers to are subject to modification at any time. If you have any questions about our business continuity planning, you can contact us at 814-868-7551. An updated disclosure may be obtained by requesting a written copy by mail.
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