Bergen Capital ("BC"), a division of Scott & Stringfellow, LLC. which is a wholly-owned non-bank
subsidiary of BB&T Corporation, which conducts business in fixed income, preferred stock, mutual
fund securities and engages in private placements, maintains important disaster recovery and business
continuity plans through our affiliation with our clearing firm, Clearview Correspondent Services,
that may be activated in the event
of a significant business disruption. The firm realizes the critical nature of being able to
continue material operations if an incident occurs that could affect its mission-critical business
units and systems. These plans are key components in maintaining emergency procedures and are
required by securities industry regulations.
In planning for potential significant business disruptions, BC has studied a number of scenarios,
including (as examples only) a disruption to a single building where it conducts business, a
city-wide business disruption and a regional disruption. The firm's plans are intended to permit
the continuation of key business operations during most types of disruptions and has been assured
by its clearing agent that it can expect a resumption of its mission-critical operations within
four hours to one business day of the disruption. To assist this business continuity, BC maintains
alternate order taking and processing capabilities through alternate locations and back-up
capabilities through its clearing agent.
In cases of extreme disruption, where the continuation of business may not be practical or in the
best interest of the firm or its clients, BC has implemented steps necessary to allow clients prompt
access to their funds and securities. If you cannot reach the BC branch office you normally do
business with (GA, KS, NY), please contact BC's main office in NJ at (888) 322-2663. If you are
unable to contact the BC main office, please contact BC's alternate business location in GA by
calling (888) 887-8561.
Please note, however, that clients should be aware of the fact that because BC's plan contains
details of a confidential and proprietary nature, they cannot be distributed to the public. Clients
should also note that BC's business continuity plan is subject to modification and that updated plans
will be promptly posted on Bergen Capital's website www.bergencapital.com, as permitted by
applicable law.