Equable Securities Corp.’s Business Continuity Planning
The number of investment opportunities has grown significantly and will continue to do so. The economy and market conditions are ever changing, making it extremely difficult for the individual or business to examine investments for inherent risks and varying returns.
Equable Securities’ investment professionals determine your needs, goals, asset mix and risk level. With that information, an investment program is developed and tailored to meet your individual or corporate situation.
If after a significant business disruption disruption you cannot contact us as you usually do at 414-475-0350 or email@example.com, you should go to our web site at www.equityent.com where emergency contact numbers will be posted. If you cannot access us through either of those means, you should contact our clearing firm, First Clearing, LLC, at 1-800-727-0304 ext. 2397 or their website at www.firstclearing.com for instructions on how they may provide prompt access to funds and securities, enter orders and process other trade related, cash, or security transfer transactions. Mutual fund and annuity companies should be contacted as disclosed on account statements received directly by you.
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 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 their funds and securities if we are unable to continue our business. Our clearing firm, First Clearing, LLC, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is 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.
Significant business disruptions can vary in their scope, such as one or more of our firms critical systems, the 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 the building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within the shortest possible time period. 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 as soon as possible. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site, www.equityent.com 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 access to their funds and securities.
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If you have questions about our business continuity planning, you can contact us at 414-475-0350 or