Broker Check

Business Continuity Planning

Brown, Lisle/Cummings, Inc. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business, such as natural disasters or acts of terror. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us - We are currently accessible to you by phone (401-421-8900 or 800-457-4293), by facsimile (401-521-2960), or by e-mail ( In the event that our firm experiences a significant business disruption, and you need to contact us, please call our main number (401-421-8900), which shall also serve as our emergency phone number. Brown, Lisle/Cummings, Inc. has the capability of forwarding calls from our main number to an alternate phone number at any time and from any location. Depending on the circumstances, we will either answer your call promptly or allow you to leave a voice mail message so that we can return your call as soon as possible. In addition, you can also refer to our website at for updated information. If you cannot access us through either of the aforementioned means, you should contact our clearing firm, National Financial Services, LLC, at (617) 563-5977 for instructions on how it may provide prompt access to your funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for you.

Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: 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 our customers prompt access to their funds and securities if we are unable to continue our business.

Our clearing firm, National Financial Services, LLC, backs up our important records that are pertinent to you in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments as quickly as possible. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions - Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one business day. In a disruption affecting our business district, city, or region, we plan to transfer our operations to a site outside of the affected area, and recover and resume business within one week. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through either our web site at or our main number (401-421-8900), which, as is explained above, also serves as our customer emergency number, on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities.

For more information - If you have questions about our business continuity planning, you can contact us at (401) 421-8900 or