Brinker Capital Securities LLC (BCS) acts as the introducing broker dealer for your accounts with its affiliate Brinker Capital Investments, LLC (BCI). We have developed a business continuity plan on how we will respond to events that significantly disrupt our business location, the city where we are located, or the whole region. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
If after a significant business disruption you cannot contact us as you usually do, you should go to our web site at clients0.brinkercapital.com. Our website will provide you with alternate telephone numbers or e-mail addresses for you to contact. If you cannot access us through these means, our clearing firms will be notified of business disruptions and will be available to customers if needed for trading, withdrawals, deposits, and inquiries.
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 operation 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 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, contractor, and bank impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firms back up our important records in geographically separate areas. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, our clearing firms have advised us that their objective is to restore their own operations and be able to complete existing transactions and accept new transactions and payments promptly.
At a minimum, the BCS business continuity plan is reviewed, updated and tested on an annual basis. Additionally, our primary internal and external application providers periodically conduct testing of their own back-up capabilities to ensure that, in the event of an emergency or significant business disruption, they will be able to provide us with the critical information and applications we need to continue or promptly resume our business.
Making sure that any type of disruption does not unduly impact our clients and their advisors is extremely important to us, and our business continuity plan is designed to allow us to continue to provide the quality service you have come to expect from Brinker Capital. If you have questions about our business continuity planning, you can contact us at 800-333-4573.