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Business Continuity Plan

Dunham & Associates has developed a Business Continuity Plan (BCP) to respond to varying events that may significantly disrupt our business, from a loss of use of our building to a regional emergency. It is, however, impossible to predict every scenario.

Although we are confident in our preparedness, we have no control over the various entities upon which we must rely in the event of an emergency and can offer no assurance that we will remain functional through any and all imaginable emergencies.

That being said, the following are aspects of our BCP of which you should be aware of...

Dunham & Associates does not hold any investor assets. All client assets are held at nonaffiliated third-party firms such as mutual fund companies, clearing firms, insurance providers, money managers, etc.

If your registered representative is unable to contact our home office, he/she may contact those firms holding your accounts directly to effect business on your behalf. In the event that you are unable to contact us or your registered representative due to a business disruption at the representative’s location, you may contact our affiliate,

Dunham Trust Company, in Reno, Nevada, at (888) 438-6426.

Our BCP provides for the establishment of operations at alternate location(s) within 24 hours at the latest for regional emergencies and, normally, without any disruption in coverage whatsoever for other events.

The recovery and business continuity plan of Dunham & Associates Investment Counsel, Inc. is subject to modification without notice and updates will be posted promptly on this website.




 
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Dunham & Associates Investment Counsel, Inc. is a Registered Investment Adviser and Broker/Dealer.  Member FINRA / SIPC.