Disaster Recovery Plan

Patriot Act:

Under Section 326 of the USA PATRIOT Act, Harris Williams & Co. and its affiliates are required to verify the identity of their clients. Harris Williams utilizes the services of outside vendors, such as Dun & Bradstreet, to assist with this government-mandated requirement. We appreciate your business and patience with our compliance efforts.

Regulatory Information Regarding Harris Williams LLC
Investment banking services are provided by Harris Williams LLC, a registered broker-dealer and member of FINRA and SIPC, and Harris Williams & Co. Ltd, which is authorised and regulated by the Financial Services Authority (FRN # 540892). Harris Williams & Co. is a trade name under which Harris Williams LLC and Harris Williams & Co. Ltd conduct business in the U.S. and Europe, respectively.