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Business Continuity Plan
EAGLE ONE INVESTMENTS BUSINESS CONTINUITY PLANNING
Eagle One Financial is committed to providing reliable, trustworthy service that represents the best interests of our clients. The firm has developed a business continuity plan to protect our clients and employees in the event of an emergency or significant business disruption. The plan is designed to help prepare for securing employees' safety and firm property, making financial and operational assessments, promptly recovering and resuming operations, protecting the firm's books and records, and allowing our clients access to their funds and securities.
The business continuity plan considers various scenarios that range in severity from a firm or building-only disruption to an emergency situation on a local or regional level. For example, in the event any Eagle One office location becomes inaccessible, alternative locations are established and prepared to facilitate business operations. The firm has redundancies in place for its business-critical systems and believes that it can usually be able to resume business within the same day as the disruption. Our goal in all situations is to return to normal business conditions as soon as possible, with minimal impact on our clients and employees. Even in an extreme situation where continuing business may not be possible or practical, Eagle One has plans in place that provide clients with access to their funds.
Eagle One's business continuity plan is subject to change at any time without notice. However, notwithstanding the above, Eagle One does not guarantee that for every disaster or business disruption, such plans will be successfully implemented or that such plans will be sufficient and appropriate to avoid, deter or mitigate the disaster or business disruption.
In the event you need to contact Eagle One, Your avenues are:
1. Your Representative at his/her home of Office
2. Eagle One Investments Home Office and talk to:
Matt Goodwin, President (phone: 888-867-4391)
David C. Paulson, Chief Executive Officer, V. P., FinPrin (phone 888-867-4392)
Robert R. Helscher, Executive V.P., Chief Compliance Officer (phone 888-867-4391)
3. Mesirow Financial, Clearing Firm functions ONLY (phone 888-353-7788)
Thank you and we appreciate your business.
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Disclosures
DISCLOSURES
Investment Advisory services offered through Eagle One Investments, LLC, Registered Investment Advisor. For further information on the services offered and their associated fees, please request Part II of Form ADV.
Investment services and investment banking services offered through Eagle One Investments, LLC, Member FINRA/SIPC.
Some investment options discussed in this website involve significant risk. This information is neither an offer to sell, nor a solicitation of an offer to buy any of these securities. For more complete information, including charges and expenses, offering circulars are available upon request. Please read the offering circular carefully before you invest or send money.
Insurance services offered through Eagle One. Insurance proposals issued by Eagle One representatives, are outlines of coverage offered by insurers. Eagle One, relies upon information provided by clients/prospects when preparing these proposals. If changes need to be made, please notify our office immediately.
All changes are subject to review and acceptance by the insurance company. Proposals do not constitute a contract and do not include all the terms, coverage, exclusions, limitations, or conditions of the actual contract language. Insurance policies themselves must be read for those details. Policy forms will be made available upon request.
In addition to the fees and/or commissions retained by Eagle One, it is understood and agreed that other parties, such as excess and surplus lines brokers, wholesalers, underwriting managers, and similar parties, may earn and retain usual and customary commissions and/or fees in the course of providing insurance products.
As is common practice in the industry, Eagle One may enter into arrangements with certain insurance carriers providing for compensation, in addition to commissions, to be paid to Eagle One based on several factors, including the volume of premium and/or underwriting profitability of the insurance coverage written through our firm by those carriers. An insurance carrier who has such an agreement with our firm may issue the insurance coverage purchased through Eagle One. These agreements are common practice within the industry and do not impact Eagle One's commitment to secure the most appropriate insurance coverage for our clients.
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New Account Procedures
NEW ACCOUNT PROCEDURES
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents.
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