REGULATORY DISCLOSURES

Privacy

The confidentiality of client information is an important concern of Roberts & Ryan (R&R). The firm is committed to maintaining the trust and confidence of our clients and customers.  We strive to protect your data and safeguard it from those not authorized to see it. We restrict access to any personal and/or account information to those employees who require the information to deliver products and services. Accordingly, we maintain physical, electronic, and procedural safeguards to protect non-public customer information. It is our policy not to sell, share, or disclose information or records regarding current or former customers with non-affiliated third-parties, or anyone, except as permitted or required by law.  R&R may disclose non-public personal information as necessary to process transactions on your behalf, to conduct our operations, to follow customer instructions as authorized, to protect the security of our financial records , and to comply with requests during regulatory reviews and examinations. 

SEC Rule 606 (Formerly known as Rule 11Ac 1-6)

Disclosure of order routing practices:  R&R routes its non-directed orders to Investment Technology Group, Inc. (ITG) whose disclosure may be accessed via the following link: https://www.itg.com/support/compliance/disclosure-of-itg-inc-order-execution-and-order-routing-information/

Business Continuity Plan

To address possible interruptions to the normal course of business, R&R maintains a Business Continuity Plan (BCP).  The BCP includes contingency operation guidelines and procedures. The BCP is reviewed annually and updated as necessary. In general, R&R uses, where applicable, secure cloud-based systems, with redundancy, enabling dynamic tactical adjustments in the event of a significant business disruption – the scope of which may vary from being limited to the firm, to that of being broader in scope and effect. The firm has made arrangements such that personnel are able to remotely access R&R’s information and systems. It is expected that with the BCP,  operations may return to functional state in a reasonably short amount of time relative to the degree of business disruption. R&R welcomes inquiries regarding our BCP.

Member FINRA | SIPC | MSRB

FINRA – The Board of Governors of the Financial Industry Regulatory Authority (FINRA) has adopted a public disclosure policy that provides certain types of disciplinary information on FINRA Member Firms and their Associated Persons which is available at the FINRA BrokerCheck website (www.finra.org ) or by telephone (1-800-289-9999). The Broker Check Program offers information that is useful in a decision to conduct business with a FINRA Member Firm or its Associated Persons and for other uses consistent with the FINRA Broker Check Program. A brochure describing the BrokerCheck Program is available upon request by contacting FINRA.
SIPC – R&R is a member of the Securities Investor Protection Corporation (“SIPC”).  SIPC provides account protection to each customer account for up to $500,000, to include $250,000 in cash.  Visit www.sipc.org for more information about SIPC coverage.
MSRB – Customers interested in more information may obtain a copy of the MSRB’s Investor Brochure by accessing the MSRB’s Website at www.msrb.org . The brochure describes the protections that may be provided by the MSRB rules and the procedures to file a complaint with an appropriate regulatory authority enforcing MSRB rules.
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