Continuity of Operations (COOP)

Our firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will assist customers in working directly with the fund provider’s to be able to access their funds and/or obtain any account information.

A. Significant Business Disruptions (SBDs)

Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on our fund provider’s system and equipment.

B. Approval and Execution Authority

Charles G. Menk III President, the CEO is responsible for approving and executing the plan and for conducting the required annual review.

The CGMA Group, LLC is made up of respected advisors based in Maryland who serve individuals and companies throughout the United States with a focus in the Baltimore-Washington region.

Contact CGMA, LLC

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    Phone 410-761-2462

    Address 6755 Business Pkwy, #408
    Elkridge, MD 21075

    Securities offered through Registered Representatives of Cambridge Investment Research, Inc., a broker-dealer, and member of FINRA and the SIPC. Advisory services through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Cambridge and The CGMA Group, LLC are not affiliated. This communication is strictly intended for individuals residing in the states of CA, CO, DC, DE, FL, IN, MA, MD, MN, NM, OH, PA, RI, SC, TX, VA, VT and WV. No offers may be made or accepted from any resident outside the specific states referenced.
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