ORDER ROUTING DISCLOSURE
BUSINESS CONTINUITY PLAN
FinTrust Investment Advisory Services, LLC
FinTrust Brokerage Services, LLC
Business Continuity Summary
Our Firm has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are 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.
Our plan considers a number of scenarios including disruption to a single building or a city-wide or regional business disruption. Many of our functions and systems are dependent upon our clearing firm, National Financial Services, LLC. National Financial has indicated that in the event of a significant business disruption, it may relocate technology and operational personnel to preassigned alternate regional facilities and switch technology data processing to an alternate regional data center. Their redundant data centers and alternate processing facilities will help minimize interruptions to our services.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 864-288-2849 or 866-626-5695, you can call our cellular phone numbers which are listed on our business cards.
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 and regulatory reporting if we are unable to continue our business. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption; our objective is to restore our operations and be able to complete existing transactions and accept new transactions within a reasonable time period.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building or unit 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 a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within a few 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 recover and resume business within a day. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through through our phone system or our customer emergency number, 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.
For more information – If you have questions about our business continuity planning or would like a copy of the complete Business Continuity Plan for FinTrust Brokerage Services LLC, please contact us directly at 866-626-5695 or 864-288-2849.
FinTrust Investment Advisory Services, LLC
FinTrust Brokerage Services, LLC
At FinTrust Investment Advisors we value our relationships with our clients. We realize that the foundation of that relationship is the trust that you place in us to assist you with your financial needs while at the same time protecting the privacy of your personal information.
This privacy notice discusses how we maintain and protect the privacy of your information. Our commitment to you is that we will continue to safeguard the confidentiality of the information you provide to us.
How We Collect and Protect Your Information
FinTrust Investment Advisors collects information about you from the following sources:
Information we receive on applications or other forms. Information about your transactions with our affiliates, others, or us. We do not disclose any non-public information about our current or former clients to any non-affiliated third parties, except as permitted by law or in order to provide the current services. FinTrust Investment Advisors maintains policies and procedures designed to protect the confidentiality and security of client’s personal information. Our employees have limited access to your personal information based on their responsibilities to provide products or services to you. Our employees are trained to understand the importance of financial privacy and to properly handle confidential information. Be assured that we maintain physical, electronic and procedural safeguards in compliance with federal standards to protect your information. Private client information will not be disclosed to third parties for any purposes of marketing and/or solicitation of business. Upon instruction from you we will share information with parties you authorize.
If our representative servicing your account leaves us to join another firm, he/she is permitted to retain copies of your name, address, and phone number in accordance with the provisions of the Protocol for Broker Recruiting (“Broker Protocol”) to which FinTrust Investment Advisors is a signatory. “Opting-out” of Third Party Disclosures: If you do not want your account representative to retain copies of your client sensitive information when he or she leaves us to join another firm, you may contact our Compliance Department at 864-288-2849.
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