Legal Notices | T&H

 

LEGAL NOTICES

LEGAL NOTICES

Business Continuity Plan Disclosure Statement

Tully & Holland, Inc. recognizes that significant disruptive incidents can interrupt its normal business operations, which are highly dependent upon its automated systems and processes creating risks that need to be mitigated. Tully & Holland, Inc. further recognizes that it must recover from disruptive incidents as quickly as possible and that this necessity to ensure a speedy restoration of services requires a significant level of advance planning and preparation.

 

Tully & Holland, Inc.'s Business Continuity Plan ("BCP") has been prepared to assist its management and staff in handling a serious disruptive crisis in a controlled and structured manner. The BCP contains information on emergency contact details, strategies to mitigate impact, procedures to be implemented and communication processes to be followed in response to a serious disruptive event. Major points addressed in the BCP are detailed below:

 

 

  • A major disruption to our headquarters facilities would result in a relocation of key personnel to an alternate location, where equipment and communication infrastructure is available for them to continue the business of the firm.

  • Our back office data is routinely backed up and stored off-site.

  • We have procedures in place to redirect our primary telephone number to any other location, so that, in the event of personnel relocation, our customers, vendors and employees can continue to contact us, without having to be notified in advance of different telephone numbers.

 

If an event was to materially affect Tully & Holland, Inc.'s operations, the BCP would allow our registered representatives to communicate with you, our clients, as well as with Tully & Holland, Inc.'s support personnel. If clients are, for any reason, unable to contact their registered representative during a disruptive incident, they may call (617) 320-6816 for support.

 

While Tully & Holland, Inc. believes the above statements to be a fair and accurate representation of its BCP, it may, from time to time, amend or revise the plan as necessary to support current business requirements.

 

 

 

 

 

 

 

 

 

Customer Identification Program Notice

Important Information You Need to Know About Opening a New Account.

 

To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.

 

This Notice answers some questions about your firm's Customer Identification Program.

 

What types of information will I need to provide?

 

When you open an account, your firm is required to collect information such as the following from you:

  • Your name

  • Date of birth

  • Address

  • Identification number:

    • U.S. Citizen: taxpayer identification number (social security number or employer identification number)

    • Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you.

  • You may also need to show your driver's license or other identifying documents.

 

A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.

 

U.S. Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange rules already require you to provide most of this information.  These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

 

What happens if I don't provide the information requested or my identity can't be verified?

 

Your firm may not be able to open an account or carry out transactions for you.  If your firm has already opened an account for you, they may have to close it.

We thank you for your patience and hope that you will support the financial industry's efforts to deny terrorists and money launderers access to America's financial system.

 

 

 

 

 

 

 

 

 

Notice of Privacy Policy

Protecting your privacy is our top priority. At Tully & Holland, Inc. ("Tully & Holland"), we understand our obligation to keep information about you secure and confidential. We will inform you of our policies for collecting, using, securing, and sharing personally identifiable and/or nonpublic personal information ("Customer Information") the first time we do business and every year that you remain a customer with us. Therefore, we maintain the following principles with respect to protecting your privacy:

 

Tully & Holland collects nonpublic personal information about you from the following sources: 

  • Information we receive from you on applications or other forms;

  • Information about your transactions with us or others; and

  • Information we receive from a consumer reporting agency

 

 We do not disclose any nonpublic information about you to anyone, except as permitted by law. 

 

If you decide to close your account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice. 

 

Tully & Holland restricts access to your personal and account information to those employees who need to know that information to provide products or services to you. Tully & Holland maintains physical, electronic, and procedural safeguards to guard your nonpublic personal information.

 

 

 

 

 

 

 

For More Information Please Contact Us At:

Tully & Holland, Inc.
 

535 Boylston Street, 7th Floor
Boston, MA 02116

 

       (781) 239-2900 


       (781) 239-2901 


       info@tullyandholland.com 

DISCLOSURE

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Tully & Holland, Inc.
Investment Banking and Corporate Finance Solutions

Member FINRA and SIPC
Legal Notices

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Tully & Holland, Inc.

535 Boylston Street, 7th Floor
Boston, MA 02116

Phone: (781) 239-2900 

Fax: (781) 239-2901

Email: info@tullyandholland.com 

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