Customer Support

In the event that your financial organization experiences a significant business interruption, Pershing may be contacted directly to process limited trade-related transactions, cash disbursements, and security transfers. Instructions to Pershing must be in writing and transmitted via facsimile or postal service as follows:

• Pershing LLC
• P.O. Box 2065
• Jersey City, New Jersey 07303-2065
• Fax: (201) 413-5368
  

Please note that the fax number above is for business interruption-related issues only, and should not be used for any other purposes, such as change of address notices, account transfers, and credit verification. Information received on this fax that is unrelated to business interruption issues will not be acted upon.For additional information about how to request funds and securities when your financial organization cannot be contacted due to a significant business interruption, please refer to the information below or call (201) 413-3635 for recorded instructions. If you cannot access the instructions from the previously noted telephone number, Pershing may be contacted at (213) 624-6100 extension 500 as an alternate telephone number for recorded instructions. The specific transactions Pershing will perform for clients of our introducing broker-dealers, and the required accompanying information, are as follows: Trades Pershing will process the following closing security transactions:

• Sale of security position held long in the client's account
• Buy of security to close-out short security position

Pershing will process closing security transactions upon receipt of written instructions that must include the following information:

• Client brokerage account number
• Client name (as registered on the brokerage account)
• Security description, including symbol or CUSIP® number
• Number of shares
  Note: All orders will be handled as market orders
  

Cash Disbursements

Pershing will process cash disbursements upon receipt of signed written instructions that must include the following information:

• Client brokerage account number
• Client name (as registered on the brokerage account)
• Exact amount to be disbursed
• Indicate method of disbursement (as follows) and provide the information indicated:
  a) Check 
      - Indicate name and address of record check is to be mailed to
  b) Federal Funds 
      - Indicate receiving bank name, ABA number, and receiving bank account number
  NOTE: The receiving bank account name and brokerage account name must be identical unless we have a letter of authorization on file indicating alternate instructions.
  

Securities Transfers

Pershing will process security transfer requests upon written instructions that must include the following information:

• Client brokerage account number
• Client name (as registered on the brokerage account)
• Description of security(ies) to be transferred, including symbol(s) or CUSIP number(s)
• Quantity to be transferred
• Receiving account information for securities, as follows:
  a) Transfer to another brokerage account at Pershing 
      - Provide receiving account number at Pershing (name and address on both accounts must be the same)
  b) Transfer to another financial organization 
      - Name of the receiving financial organization
      - DTC number (if the receiving financial organization is a registered broker-dealer)
      - Name of the receiving financial organization