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Home > Financial Services > Stock Brokers > Pickering Energy Partners, Inc.
Pickering Energy Partners, Inc.
Pickering Energy Partners 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.
Their focus is to deliver crisp, timely, value added, energy investment ideas to their institutional clients. Leveraging their deep industry knowledge and existing industry relationships develop investment ideas. Their research is provided to institutional clients via published reports, concise emails, and through direct interaction with their highly rated analysts and unique, specialized sales force.
As required by securities industry regulations, Pickering Energy Partners wants to make you aware that they have developed a Business Continuity Plan on how they will respond to events that disrupt their business. Since the timing and impact of disruptions is unpredictable, they will have to be flexible in responding to actual events as they occur.
Significant business disruptions can vary from disrupting only their firm to the region in which they are located. Their Plan addresses various disruptions and is intended to mitigate reasonable risk so as to permit the continuation of key business operations. Their Business Continuity Plan addresses data back up and recovery, mission critical systems, safeguarding their employees and property, financial and operational assessment, alternative communications with customers, employees and regulators, alternate physical location of employees, critical supplier and bank, and counter party impact, regulatory reporting and assuring their customers prompt access to their funds and securities and allowing their customers to transact business.
Pickering Energy Partners maintains surplus offsite archival storage facilities in a geographically separate area. Their clearing firm, Bear Stearns Securities Corp., also backs up their records. They have designated an alternate site to conduct key business operations until they are able to return to their offices. The firm’s goal is to recover its critical operations within minutes or hours after the disruption. They will assure their customers prompt access to their funds and securities.
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