Business Continuity Disclosure
Weller, Anderson & Co., Ltd. (WACC) is a broker/dealer registered with the Securities Exchange Commission (SEC), member of FINRA
(Financial Industry Regulatory Authority) and member of the Securities Investor Protection Corporation (SiPC). As a Houston, Texas-based
broker/dealer, the firm is engaged in various securities trading and brokerage activities servicing institutional and private clients.
Emergency Overview and Disclosure
Weller, Anderson & Co., Ltd (WACC) has developed a Business Continuity Plan (BCP) on how the firm will respond to the events that
significantly disrupt our business. Our BCP ensures first the safety and security of our employees. Since the timing and impact of disasters
and disruptions are unpredictable, WACC will have to be flexible in responding to actual incidents involving the firm’s place of business,
city or other regional occurrences, to include the relocation of key personnel.
Too, because our financial industry is so heavily interconnected with data connections ranging from dial-up modem communication,
dedicated private lines, frame relay technology of our clearing firms and where possible, their redundant connections to others, and, in many
cases, the Internet through encrypted sessions, not to mention all the variables present in each situation that WACC has no control or
guarantee, we will make every effort to resume business as quickly as possible either at our office address or at another site(s) given the
scope and severity of the 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.
If, after a significant business disruption, you cannot contact us as you normally do at 713-222-1901 or 888-712-6622, you should call one of
the following cell numbers: General Partner, Fenner R. Weller, Jr., 713-899-2600, Carolyn Bruns, 832-654-4181/4187, or William Ryan
Weller, 832-423-7353, or Fenner “Reese” Weller III, 832-264-3047.
In the event of a significant business disruption, our clearing firms, Southwest Securities, 1201 Elm Street, Dallas, Texas will supply
additional information at 866-797-5227 and Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation, P.O. Box 2065,
Jersey City, New Jersey 07303-2065 you can call 201-413-3635 to hear their recorded instructions. You may want to visit the individual
websites of Southwest Securities, http://www.swst.com or Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation at
Both Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation and Southwest Securities back 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 our clearing firms that each objective is to restore their own operations and be able to
complete existing transactions and accept new transactions and payments within a reasonable period as determined in their business
continuity plans. Your orders and requests for funds and securities could be delayed during this period.
Pandemic Statement of Preparation
As part of Weller, Anderson & Co., Ltd.’s ongoing BCP, we have made preparations to deal with a potential flu outbreak affecting our
associates with a goal of taking care of our employees first while preserving the firm’s ability to service our customers. With the potential of
an infection quickly escalating, the firm would strategically send personnel with electronic access to work from home, where appropriate, or
send personnel to other unaffected geographical areas.
In the workplace, employees would be spaced differently, thereby avoiding close physical proximity and minimizing the potential for
transmission of a virus or other health risks. The firm does review ways to make our facilities more biohazard resistant.
Weller, Anderson & Co., Ltd. will update our Business Continuity Plan whenever we have a material change to operations, structure,
business or location or to those of our clearing firms, Southwest Securities, Dallas, Texas and Pershing LLC, a subsidiary of The Bank of
New York Mellon Corporation, Jersey City, New Jersey.
We will continue to post this disclosure and any updates to our website at www.welleranderson.com . Should you have questions about our
Business Continuity Plan, please contact us at 713-222-1901 or 888-712-6622.
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