725 Glen Cove Avenue
Glen Head, New York 11545
Halliday Financial’s primary client goal is to protect your privacy.
To conduct regular business, we may collect nonpublic personal information from sources such as:
- Information reported by you on applications or other forms you provide to us
However, the Firm does not share or disclose any nonpublic, personal information about its current or former customers, except as permitted by law. All information will remain confidential.
As the Firm shares nonpublic, personal information solely to service our client accounts, we do not disclose any nonpublic, personal information about our customers or former customers to anyone, except as permitted by law.
Information Safeguarding: Halliday Financial will internally safeguard your nonpublic, personal information by restricting access to only those employees who provide products or services to you or those who need access to your information to service your account. In addition, we will maintain physical, electronic and procedural safeguards that meet federal and/or state standards to guard your nonpublic, personal information.
Halliday Financial, LLC.
Business Continuity Plan (BCP): Our firm’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records and allowing our customers and transact business.
Our plan anticipates two kinds of SBDs internal and external. Internal SBDs affect only our firm’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operations of the securities markets or a number of firms, such as a terrorist attack, or wide-scale regional disruption due to floods, loss of power, etc. Our response to an external SBD relies on other organizations and systems, such as mutual fund and insurance companies, and, to a limited extent, our clearing broker-dealer.
In the event of an internal and external SBD that causes the loss of our paper records, we will physically recover these records from our backup tape. Since we deal only in mutual funds and variable annuities, we will also have the ability to access the records held at the respective companies. In selected instances, Halliday Financial, LLC. will clear other securities transactions through Pershing & Co., a division of BNY Securities Corporation. The clearing firm has provided us with alternative contact persons and organizations in the event it cannot be reached.
In the event of an SBD, we will immediately identify what means will permit us to communicate with our customers, employees and other critical personnel. Although the effects of an SBD will determine the means of alternative communication, the communications option we will employ will be our telephone voice mail and telephone provided our service is operable. In addition, we will retrieve records as the section above.
We now communicate with our customers using the telephone, fax, U.S. mail and very occasionally email. In the event of an SBD, we will assess which means of communications are still available to us, and use the means closest in speed and form (written or oral) to the means that we have used in the past. If we have always communicated by telephone but service is unavailable we will follow up by communicating by U.S. mail.
We now communicate with our employees using the telephone, email and in person. In the event of an SBD, we will assess which means of communication are still available to us. Since we are a small company, all our employees have a directory of all employees’ home addresses and telephone numbers and we have in the past, used the “call tree” method to communicate in emergency situations, i.e., inclement weather or power failures. We will do the same in the event of an SBD. Rachel H. Pino will call key persons and assign them persons to call so that all employees are reached.
Sean S. Mohammadi, a registered principal, is responsible for approving the plan and for conducting the required annual review. Rachel Pino, a registered principal, has the authority to execute this BCP.