Contact Information

Lori Mitchell
Vice President
Investor Services Manager

Florida Office
17755 US Hwy 19 N
Suite 400
Clearwater, FL 33764-6500
Ph. 877.654.1500
Fax 727.450.0750

gryphon icon Business Continuity Plan Summary

In light of past domestic and global occurrences, such as 9/11 and recent global occurrences, governmental regulatory authorities have put into place rules (FINRA Rule 3510 and Rule 3520), which address the very important issue of business continuing under various disaster scenarios, as a protection feature for the investing public.

The intent of this notice is not meant to cause alarm, but to provide for efficiencies in communication during a disruptive occurrence.

Below is a summary on how Commonwealth intends to handle any recovery-related occurrence:

Commonwealth maintains a business continuity plan as required by FINRA. Our counsel, Greenberg Traurig LLP, in Philadelphia PA, retains a copy of our plan as well. Our website: will also be available in instances where an alternative means of communication would become necessary.

Our business is not dependent on a day-to-day access to funds, therefore we, at Commonwealth, feel that Commonwealth’s plan, which has been completed and implemented, will provide ample alternative communication abilities and maximum continued services to our investors.

In the case of a "one-location" disaster, we have now provided an alternative investor hotline for your use. It is an additional toll free set up for your convenience and use, which is (800) 249-3700, in addition to our current toll-free, which is: (877) 654-1500.

Locally, our Florida office phone number is (727) 450-0750.

In the case of a "multi-location disaster", please see our website: for further information on additional/alternative means of communication. As none of us anticipate ever needing the use of this information, please keep this information with your investment records.

We will continue to keep you informed, if any of the above information should change, through our purchase confirms, financial reports and annual tax information.