Disclosures
Disclosure Brochure
Our disclosure brochure provides information about the qualifications and business practices of Knopinski & Fauver Financial Advisors, Inc.
Review the entire document in pdf format
Business Continuity Plan Summary
Knopinski & Fauver Financial Advisors (KFFA) has a Business Continuity Plan with detailed policies and procedures in the event of a significant business disruption (SBD). KFFA will take appropriate measures to safeguard employee lives and property, make financial and operational assessments, quickly recover and resume operations, protect all of the firm’s books and records, and allow our customers to transact business. In the event that we determine we are unable to continue our business, we will assure customers prompt access to their funds and securities.
KFFA will continue to service its customers in the event of an internal or external SBD through its own means and/or with assistance of our prime broker, Shareholders Service Group. Depending upon the type of internal SBD (such as a fire or power outage), KFFA may relocate its primary office facility to its designated alternative site. Business and operational services will continue through their normal means with communications via telephone, cell phone, e-mail and the KFFA website. In the event of an external SBD (such as a terrorist attack or a natural disaster), KFFA and Shareholders Service Group have back-up facilities and specific arrangements in place to provide continued service. Our prime broker, Shareholders Service Group, has its own respective BCP in place to ensure continuous, reliable delivery of service to its customers while maintaining regulatory compliance. Alternative phone numbers to use in the event of a SBD are 303 604-9474 and 303 499-3895, or for Shareholders Service Group (800) 380-7370 or (858) 530-1031, or for Pershing LLC, (201) 413-3635 or (215) 624-6100 ext. 500.
This Business Continuity Plan may be modified at any time as warranted. A hard copy is available via U.S. mail upon request.
Privacy Policy
As a client of Knopinski & Fauver Financial Advisors, Inc., you share both personal and financial information with us. Your privacy is important to us, and we are dedicated to safeguarding your personal and financial information.
We do not sell information about current or former clients to third parties, nor is it our practice to disclose such information to third parties unless requested to do so by a client or client representative or, if necessary, in order to process a transaction, service an account or as permitted by law. Additionally, we may share information with outside companies that perform administrative services for us. However, our contractual arrangements with these service providers require them to treat client information as confidential.
We maintain physical, electronic and procedural safeguards to protect our clients' personal information. Our Privacy Policy restricts the use of client information and requires that it be held in strict confidence.
