Regulatory Disclosures
Customer Complaint Notice Disclosure Statement – SEC Rule 17a-3(a)(18)(ii)
Haverkamp Investments, Inc., in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief Compliance Officer immediately at:
Haverkamp Investments, Inc.
510 S. 17th Street, Suite 104
Ames, IA 50010
Attn: Chief Compliance Officer
Business Continuity Plan Notice
Haverkamp Investments, Inc. (“HI”) has developed a Business Continuity Plan (“BCP”) to manage and mitigate the impact of events that have the potential to significantly disrupt business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they transpire. The BCP is designed to enable us to recover and return to business operations as quickly as possible.
In the event of a significant business disruption, we will assess which means of communication are still available to us and communicate accordingly with clients, where necessary. If you cannot communicate with us as you usually do, you should contact us at info@haverkampinvestments.com.
We believe that we have implemented reasonable measures to quickly resume business operations after a significant business disruption and safeguard our employees, property, and books and records. The BCP 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, bank, and counter-party impact; and regulatory reporting.
Significant business disruptions can vary in their scope, such as affecting 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. We plan to mitigate the impact of a disruption through a combination of data redundancy and remote computing. However, in the event of a business disruption, HI cannot guarantee that it will be able to continue or resume business operations within any specified period of time.
If you have questions about the BCP, you can contact us at info@haverkampinvestments.com or Haverkamp Investments, Inc. 510 S. 17th Street, Ste. 104, Ames, IA 50010.
Anti-Money Laundering (Customer Identification Program Notice)
Important Information You Need to Know About Opening A New Account
To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.
This Notice answers some questions about Haverkamp Investments, Inc.’s (“HI”) Customer Identification Program.
What types of information will I need to provide?
When you open an account, HI is required to collect information such as the following from you:
- Your name
- Date of birth
- Address
- Identification number
- US Citizen: taxpayer identification number (social security number or employer identification number)
- Non-US Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you
- You may also need to show your driver's license or other identifying documents
A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.
US Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.
What happens if I don't provide the information requested or my identity can't be verified?
HI may not be able to open an account or carry out transactions for you. If we have already opened an account for you, we may have to close it.
We thank you for your patience and hope that you will support the financial industry's efforts to deny terrorists and money launderers access to the financial services industry.
© 2018. FINRA
