Buckingham Research Group

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Description

Varying Disruptions – Significant business disruptions can vary in their scope, such as 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 local sites when needed and expect to recover and resume business within a 4 – 12 hour period.

Established in 1982, The Buckingham Research Group Incorporated is a New York-based registered broker-dealer. The firm is dedicated to providing high-quality “value-add” equity research based on thorough and unique analysis distributed exclusively to our institutional client base. As a result of this process, we have established a special niche with many of the most successful money managers in the country.

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 disruption.

We are an agency only trading desk with access to all U.S. equity markets. We successfully execute equity strategies for money management institutions. Algorithmic and natural liquidity searches enhance our ability to execute with minimal market impact in a manner that is consistent with our clients’ objectives. However, we always have trader oversight with each trade to monitor and avoid unusual events related to electronic trading. Our seasoned sales traders have extensive experience in generating and providing ideas utilizing the firm’s equity research product.

Our clearing firm, National Financial Services, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within a 4 – 12 hour period. Your orders and requests for funds and securities could be delayed during this period.

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