Business Continuity Plan
      Securities industry regulations require securities brokerage firms such as CCS to create and maintain a business continuity plan to ensure that the impact to your securities accounts is minimized in the event of an emergency, disaster, or other significant business disruption.  Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical suppliers, contractors, banks and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

      Since events creating business disruptions may vary in nature and scope, CCS has anticipated scenarios in which our primary building is affected or a branch location is affected or there is a citywide or regional disruption. Regardless of the scope of potential disruption, CCS intends to continue to provide service to its customers. In the event our primary building or business is affected by a disruption, CCS has an alternative location, located approximately 15 miles from our primary location, where operations can be restored promptly. In the unlikely event of city-wide or regional disruption, CCS has established an out-of-state recovery site that can be used to restore operations as soon as key employees are relocated to the facility.

      In the event of a significant business disruption, customers may access their funds and securities by directly contacting CCS’ clearing firm, First Clearing, LLC, or the mutual fund company holding the account. In addition, CCS will contact customers with our alternative telephone number and address.  We will also post this information on the Disclosures page on our website at www.ccsmadison.com

      Our clearing firm, First Clearing, LLC, backs up our customers’ important stock and bond position and transaction 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 stock and bond transactions and accept new stock and bond transactions and payments within a short period of time.  Your orders and requests for funds and securities could be delayed during this period. 

      Making sure that any type of disruption does not unduly impact our customers is extremely important to us, and our business continuity plan is designed to allow us to continue to provide the quality service you have come to expect from CCS. A complete copy of our Business Continuity Plan is available to customers upon written request, or for more information, you can contact us by calling (608) 221-4545.