Business Continuity Plan

Effective date: 8/7/2012

In the event of a Significant Business Disruption (SBD), it is the policy of Rice, Voelker LLC to react quickly, efficiently and according to pre-tested and pre-planned procedures to ensure the safety of our employees, associates, customers, as well as critical operational and account data. We will provide information to employees, associates and clients both pre and post SBD to ensure operations run as smooth as possible during this critical time.

Significant Business Disruption (SBD) Definitions:
Our firm’s business continuity plan covers three types of disruptions:
  • Firm Disruptions (FD) – Includes but not limited to firm disruptions such as a building fire, power outage, computer or network malfunction, virus infection disruption or disconnection of telephone services.
  • Local Disruptions (LD) – Includes but not limited to local disruptions such as regional floods, fire, terrorist attack, earthquake, tornado, hurricane, chemical spill or regional power, telephone or internet outages.
  • Regional Disruptions (RD) – Includes but not limited to regional disruptions such as power grid failure or regionally affected natural disaster or terrorist attack.

In the event of a FD, clients can call our alternative location at 985-796-3525 for information and instructions. Under this scenario, Rice, Voelker LLC will plan to continue doing business within a period of two hours of the FD.

In the event of a LD, clients can call our alternative location at 985-796-3525 or if secondary location is effected by the LD, clients can call our Securities Compliance Advisors at 505-466-3555 for information and instructions. Under this scenario, Rice, Voelker LLC will close operations and inform our clients via phone, email or website of our expected recovery time.

In the event of RD, clients can call our alternative location at 318-828-2332 or if the secondary location is effected by RD, clients can call our Securities Compliance Advisors at 505-466-3555 for information and instructions.

In the event clients may not obtain information regarding Rice, Voelker’s operations from the information listed above, you may contact our clearing firm LEK Securities (Hyperlink this to www.leksecurities.com) at (212) 509-2300.

Data Back-up
Rice, Voelker, LLC backs up its critical information and stores this information at a designated off-site location in the event of a destruction of critical documents caused during a SBD.

Plan Review and Updates
This Business Continuity Plan is subject to change and is modified and reviewed at least annually for updates and revisions.

Clients can also request this document by calling the firm at 985-898-3477 and copy will be mailed via U.S. mail to the client.
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Contact RiceVoelker.
327 North Columbia Street | Covington, LA 70433 | (985) 898-3477 (
Direct) | (800) 240-0412 (Toll Free) | (888) 836-3348 (Trading) | (985) 898-3498 (Fax)
400 Poydras Street | Suite 2140 | New Orleans, LA 70130 | (504) 207-5901 (
Direct) | (800) 731-8203 (Toll Free) | (504) 561-5110 (Fax)
Member FINRA/Member SIPC

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