Coughlin & Company, Inc. (Coughlin) is committed to protecting the interests of our customers in the case of a business disruption.

The Business Continuity Plan summary below illustrates our efforts to reduce risks associated with business interruptions. We periodically test our plan to ensure that we are able to respond should this become necessary. Coughlin maintains and operates its own contingency facility located geographically away from the main downtown office of the company to diminish risks posed by local interruptions.

In the event of a disruption at our corporate offices, some functionality may be temporarily disrupted. Customers can continue to view their positions, activity, and account statements located at Communications to Coughlin will continue via telephone at our remote at 720-335-6509 site or via email at

Should there be a disruption at our clearing firm, Wedbush Morgan Securities headquartered in Los Angeles, California, some daily functions may be temporarily disrupted. They will follow their business continuity plan that provides for critical functions to be recovered within the same day and all other functions to be recovered shortly thereafter. Any operational disruption at their headquarters will not result in loss of information regarding customer accounts, securities or monies.

Account information and transaction history are stored in book-entry form at data service providers. These facilities are remotely located in order to minimize the effect of any single disaster. They also have offsite redundancy of this information.

If you want a copy of this Business Continuity Plan summary, please contact your Investment Executive. The plan is subject to change without notice and any additions will be available upon request.