Who we are

DH Frederick Securities, Inc. specializes in assisting clients with satisfying Capital needs. As a subsidiary of Frederick Capital Corporation, it benefits from the over twenty year enviable track record for successfully completing assignments it has undertaken on behalf of Public and Private firms, management teams, individuals, investor groups, and multi generational family businesses.

DH Frederick Securities, Inc. - Business Continuity Plan

DH Frederick Securities, Inc. has developed and implemented a Business Continuity Plan ("BCP") that includes redundant data centers and alternate facilities to protect its business processes and technology environment in the event of a significant business disruption. DH Frederick Securities, Inc.ís policy is to respond to a significant business disruption (SBD) in an effort to safeguard employeesí lives and firm property, make a financial and operational assessment, quickly recover and resume operations, protect the firmís books and records, and allow our customers to transact business.

The plan addresses business disruptions that may be caused by a local incident or by a regional or market related disaster that applies to many companies. The Plan covers our critical business processes and related employees essential for DH Frederick Securities, Inc. to continue to conduct business for an interim or temporary period during a business interruption. Every important aspect of DH Frederick Securities, Inc.ís securities business, including 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 and counter-party impact; regulatory reporting; and assuring our customers prompt access to the firmís principals if we are unable to continue our business is addressed in this plan.

DH Frederick Securities, Inc.ís goal is to recover its Critical Business Processes with minimal interruption, depending on the nature of the disruption. 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 two days. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and presume to recover and resume business within two days. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customerís prompt access the firms principals.

If after a significant business disruption you cannot contact us as you usually do at 949-476-3720, please use our emergency contact number 949-719-9910 or go to our website at dhfredericksecurities.com for contact instructions.

Please be advised that our business continuity plan is subject to change and modification. Our firm will update this plan whenever we have a material change to our operations, structure, business, or location. In addition, our firm will review our plan annually to modify it for any changes. If you have questions about our business continuity planning or would like a written copy of the summary of our BCP, you can contact us at 949-476-3720 or dhfrederick@frederickcapital.com.