Pflueger & Baerwald Inc.

Business Continuity Plan Summary Statement

Pflueger & Baerwald Inc. has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. 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. We clear our securities business through Lantern Investments, Inc., clearing through Pershing LLC ("Pershing") and Pershing carries accounts and maintains assets of our clients.

Contacting Us

If after a significant business disruption you cannot contact us as you usually do at (415) 421-4171, you should call our alternative number (800) 955-9552 (toll free). If you cannot access us through either of those means, you should contact our clearing firm, Lantern Investments, Inc., at (631) 454-2000, or in writing at Lantern Investments, Inc., 35 Pinelawn Road, Melville, NY 11747. If you are unable to contact Lantern, you should contact Pershing LLC www.pershing.com, at (201) 413-3635/Fax (201) 413-5368 or, in writing at Pershing LLC, P.O. Box 2065, Jersey City, NJ 07303-2065 for instructions on how you may process trades, disburse cash, or facilitate the transfer of your securities. On the Pershing website, click on "Business Continuity and Other Disclosures" at the bottom of the page, then on the "Pershing Disclosures" link, and then on the "Client or Investor Support" link for specific instructions on how to contact Pershing directly to process trade-related transactions. There is also an alternate contact number for Pershing if you cannot access Pershing via the other previously noted telephone number. That number is (213) 624-6100, extension 500.

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 backup 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.

Pershing backs up our important records 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 Pershing that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within four hours. 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 four hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 24 hours. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our customer emergency number, (800) 955-9552, about 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 (415) 421-4171.

Investments since 1911

Member FINRA and SIPC

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