FINRA Rule 2267 requires that member firms provide clients with the FINRA BrokerCheck Hotline Number (800-289-9999), FINRA web site address (www.finra.org) and a notification that a brochure describing BrokerCheck is available from FINRA by contacting FINRA through their web site.
There are links to third-party websites on the internet contained in this website. We provide these links because we believe these websites contain information that might be useful, interesting and or helpful to your professional activities. Parkman Whaling LLC has no affiliation or agreement with any linked website. The fact that we provide links to these websites does not mean that we endorse the owner or operator of the respective website or any products or services offered through these sites. We cannot and do not review or endorse or approve the information in these websites, nor does Parkman Whaling LLC warrant that a linked site will be free of computer viruses or other harmful code that can impact your computer or other web-access device. The linked sites are not under the control of Parkman Whaling LLC, and we are not responsible for the contents of any linked site or any link contained in a linked site. By using this website to search for or link to another site, you agree and understand that such use is at your own risk.
This website is intended to provide information on the firm and its services and is not guaranteed to be up-to-date or complete.
Contact for Alleged Copyright Infringement
Parkman Whaling LLC respects the intellectual property rights of others and requires that its users do the same. If you believe that any content available on our website or other activity taking place on our website constitutes infringement of a work protected by copyright, please notify our agent, designated under the Digital Millennium Copyright Act (17 U.S.C.512) (the DMCA) to respond to such concerns, as follows: Attn: Bruce Campbell, Parkman Whaling LLC, 600 Travis, Suite 600, Houston, Texas 77002, (713) 333-8400, firstname.lastname@example.org. Your notice must comply with the DMCA. Upon receipt of a compliant notice, we will respond and proceed in accordance with the DMCA.
No information regarded as confidential should be sent to Parkman Whaling LLC prior to engaging the firm. Additionally, no assurances can be made that electronic messages will only be viewed by the intended recipient.
The information presented in this website is provided for informational purposes by Parkman Whaling LLC and is not intended to be a solicitation regarding any securities transaction and or investment relationship.
Business Continuity Plan Client Disclosure Statement
Parkman Whaling Securities LLC 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 are 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.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do by phone at (713) 333-8400 or by e-mail at email@example.com, you should call our alternative number (713) 869-0077. If you cannot access us through either of those means, you should contact the entities in which you have invested directly for instructions on how you may access investment information, invest additional funds and or provide you with prompt access to funds and securities.
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 investments if we are unable to continue our business.
Since you invest directly, the entities in which you have invested are responsible for those records they maintain on your behalf. Additionally, when you invest with our assistance, we take steps to assure that you have paper or electronic copies of everything that you have signed and or obligated yourself to, which results in your having access to essentially the same records as us, should you be unable to contact us during a an emergency situation. Finally, while most transactions done through us are not time sensitive, every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption. Thus, while each entity with which you have invested desires to restore its own operations and be able to complete existing transactions and accept new transactions and payments within a short period of time, 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 one day. 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 five days. In either situation, we plan to continue in business, and notify you through our customer emergency number (713) 869-0077 on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt interface with the respective companies and entities that have provided investment products to you, through us.
For more information – If you have questions about our business continuity planning, you can contact us at (713) 333- 8400.
This plan is subject to modification, and customers may alternatively obtain updated summaries by requesting a written copy by mail.