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Home > Financial Services > Stock Brokers > Lemley, Yarling & Co.
Lemley, Yarling & Co.
Lemley, Yarling & Co. 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.
Lemley, Yarling & Co. is a NASD registered broker-dealer, acting solely as an agent to execute trades, provides execution services for Lemley Yarling Management Co. clients at the rate of $6 plus 2.5cents per share. It also executes trades for non managed accounts at 12.5 cents per share with a $25 minimum charge.
Lemley Yarling & Co. maintains this Business Continuity Plan, describing their policy used in responding to a Significant Business Disruption. Their response is directed to safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing their customers to transact business. In the event that they determine they are unable to continue their business, they will assure customers prompt access to their funds and securities.
Their firm does not maintain custody of customers’ funds or securities, which are maintained at their clearing firm, Mesirow Financial, their firm’s mission critical systems are those that ensure prompt and accurate processing of securities transactions, including order taking, order entry, execution, comparison, allocation, clearance and settlement of securities transactions, the maintenance of customer accounts, access to customer accounts, and the delivery of funds and securities.
They have primary responsibility for establishing and maintaining their business relationships with their customers and have sole responsibility for their mission critical functions of order taking and entry. Their clearing firm provides, through contract, the execution, comparison, allocation, clearance and settlement of securities transactions, the maintenance of customer accounts, access to customer accounts, and the delivery of funds and securities.
Their clearing firm represents that it backs up their records at a remote site. Their firm represents that it operates a back up operating facility in a geographically separate area with the capability to conduct the same volume of business as its primary site. Their clearing firm has also confirmed the effectiveness of its back up arrangements to recover from a wide scale disruption by testing.
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