LEGAL NOTICE

 

DISCLOSURE

WARRANTIES & DISCLAIMERS

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There are no warranties implied.

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ProCourse Fiduciary Advisors, LLC  (“ProCourse”) is a registered investment adviser located in Carmel, Indiana. ProCourse may only transact business in those states in which it is ProCourse’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of ProCourse’s web site on the Internet should not be construed by any consumer and/or prospective client as ProCourse’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by ProCourse with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of ProCourse please contact the state securities regulators for those states in which ProCourse maintains a registration filing. A copy of ProCourse’s current written disclosure statement discussing ProCourse’s business operations, services, and fees is available at the SEC’s investment adviser public information website – www.adviserinfo.sec.gov or from ProCourse upon written request. ProCourse does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to ProCourse’s web site or incorporated herein, and takes no responsibility therefor. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.registered, or qualifies for an exemption or exclusion from registration requirements.

ProCourse has been nominated and has won several awards. ProCourse did not make any solicitation payments to any of the award sponsors in order to be nominated or to qualify for nomination of the award. The basis for each award presented on this website is provided by accessing the Internet link to the award sponsor which is available by going to the award sponsor’s icon or name shown on the web pages herein.

 

ProCourse Fiduciary Advisors, LLC Business Continuity Plan
Client Disclosure Statement

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ProCourse Fiduciary Advisors, LLC (“ProCourse”) plans to quickly recover and resume business operations after a significant business disruption (SBD) and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our clients to transact business. In short, our company’s Business Continuity Plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.

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The BCP 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, custodial 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.

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Our website hosting vendor, integrated online backup vendor and the custodial and banking institutions 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 website hosting vendor, integrated online backup vendor and the custodial and banking institutions that their objective is to restore their own operations and be able to complete existing transactions and accept new transactions and payments within a resumption time period. Your orders and requests for funds and securities could be delayed during this period.

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Significant Business Disruptions.  ProCourse’s plan takes into account two kinds Significant Business Disruptions, internal and external. Internal SBDs affect only ProCourse’s ability to communicate and do business, such as a fire or loss electrical power in the office or building.

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External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.

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Internal SBDs.  In the event of a disruption in ProCourse’s business operations due an internal SBD, ProCourse will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location.

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If personnel or operations must be moved to an alternate location, ProCourse anticipates that it will resume regular operations as soon as personnel can access the alternate site.

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External SBDs.  In the event of a disruption in ProCourse’s business operations due to an external SBD, ProCourse will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the effected area, if possible, or by providing clients with alternative communication arrangements, as indicated below, to conduct business or to access their funds and securities.

ProCourse will attempt to resume business and keep its clients informed regarding relevant events to the best of its ability based on the circumstances.

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In all cases, ProCourse will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.

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If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our clients’ prompt access to their funds and securities.

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Communications.  In the event you are unable to reach ProCourse at our main number, please proceed as follows:

• Contact ProCourse at the following alternate telephone number: 317-708-4152.

• Access ProCourse’s website at: www.ProCourseAdv.com.

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Contact Information.  Any questions regarding ProCourse’s Business Continuity Plan should be addressed to: Brea N. Dantin, ProCourse Fiduciary Advisors, LLC, 1180 Medical Court, Suite A, Carmel, Indiana 46032, (317) 708-4152.

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