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Home > Financial Services > Stock Brokers > Nancy Barron & Associates, Inc.
Nancy Barron & Associates, Inc.
Nancy Barron & Associates, Inc. is a member of NASD, the National Association of Securities Dealers. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Nancy Barron & Associates, Incorporated, member NASD and SIPC. Accounts carried by and orders executed through National Financial Services, a Fidelity Investments company, member NYSE, NASD. Nancy Barron & Associates, Inc. and National Financial Services, LLC are in no way affiliated, and are two totally independent companies. Securities in accounts carried by NFS are protected by the Securities Investor Protection Corporation up to $500,000 including cash claims limited to $100,000. NFS has arranged for additional insurance protection for cash and securities to supplement its SIPC coverage. This additional protection covers total account net equity in excess of the $500,000/$100,000 coverage provided by SIPC. Neither coverage protects against a decline in the market value of securities.
Nancy Barron & Associates has developed a Business Continuity Plan on how they will respond to events ice storms, fire, terrorism, etc. that significantly disrupt their business. Since the timing and impact of disasters and disruptions is unpredictable, their will have to be flexible in responding to actual events as they occur. With that in mind, they are providing you with this information on their business continuity plan. They plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding their and property, making a financial and operational assessment, protecting the firm's books and records, and allowing their customers to transact business. In short, their business continuity plan is designed to permit their firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Their business continuity plan addresses a 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 supplier, contractor, bank and counter party impact regulatory reporting; and assuring their customers prompt access to their funds and securities if they are unable to continue their business.
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