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Capital Capital Advisors LLC has developed and implemented a Business Continuity Plan (“BCP”) to protect its business processes and technology environment in the event of a significant business disruption. Capital Capital Advisors’ policy is to respond to a significant business disruption (SBD) in an effort to safeguard employees’ lives and firm property, quickly recover and resume operations, protect the firm’s books and records, and allow our customers to transact business.
Capital Capital Advisors’ goal is to recover its business activities with minimal interruption, depending on the nature of the disruption. 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 24 hours. 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 a reasonable amount of time. 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.
If, after a significant business disruption, you cannot contact us as you usually do at 415.924.4949, please go to our website at www.capitalcapital.com for contact instructions. If you cannot access us through those means, and you have a brokerage account carried by our clearing firm, you should contact TD Ameritrade Institutional via its website www.tdainstitutional.com or by telephone at 800.431.3500 for instructions on how it may provide prompt access to your funds and securities, including accepting buy and sell orders and issuing checks and wires from your account.
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, or to those of our clearing firm. In addition, our firm will review our plan annually to modify it for any changes. If the plan is modified, we will promptly post the revised summary on our website www.capitalcapital.com. 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 415.924.4949 or www.capitalcapital.com.
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