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Gregory Zent & Swanson Inc.




Gregory, Zent & Swanson Incorporation 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.

They have been helping their clients to achieve their wealth management, and asset management goals for over 20 years. Their future is focused on continuing to provide the best financial advice to their clients. Global interdependence, technological change, inflation, disinflation, political turmoil and a host of other complexities make the investment environment intensely challenging. Non professional investors are finding it increasingly difficult, if not impossible, to achieve satisfactory returns on their own. 

The Company is registered with the Securities and Exchange Commission as a Broker Dealer and Investment Advisor and is a member of the National Association of Securities Dealers. Their firm’s policy is to respond to a Significant Business Disruption by 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 conducts business in equity, fixed income and mutual funds. Their firm is an introducing firm and does not perform any type of clearing function for itself or others.  They do not hold customer funds or securities. They accept and enter orders. All transactions are sent to their clearing firm, which executes their orders, compares them, clears and settles them. Their clearing firm also maintains their customers’ accounts, can grant customers access to them, and delivers funds and securities. Their firm services retail and institutional customers. They do not engage in private placements.

The purpose of this document is to provide their customers with an overview of their business continuity and disaster recovery plans, including a high level definition of the policies and procedures that they will employ in the event of a business interruption.

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