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Business Continuity Plan
Coltrane
Securities, a division of Coordinated
Capital Securities, Inc.
Securities industry regulations require
securities brokerage firms such as CCS to create
and maintain a business continuity plan to
ensure that the impact to your securities
accounts is minimized in the event of an
emergency, disaster, or other 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 suppliers, contractors,
banks 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.
Since events creating business disruptions
may vary in nature and scope, CCS has
anticipated scenarios in which our primary
building is affected or a branch location is
affected or there is a citywide or regional
disruption. Regardless of the scope of potential
disruption, CCS intends to continue to provide service to its customers. In the event
our primary building or business is affected by
a disruption,
CCS has an alternative location, located
approximately 15 miles from our primary
location, where operations can be restored
promptly. In the unlikely event of city-wide or
regional disruption, CCS has established an
out-of-state recovery site that can be used to
restore operations as soon as key employees are
relocated to the facility.
In the event of a significant business
disruption, customers may access their funds and
securities by directly contacting CCS’ clearing
firm, First Clearing, LLC, or the mutual fund
company holding the account. In addition, CCS
will contact customers with our alternative
telephone number and address. We will also post
this information on the Disclosures page on our
website at
www.ccsmadison.com
Our clearing firm, First Clearing, LLC, backs up
our customers’ important stock and bond position
and transaction 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
stock and bond transactions and accept new stock
and bond transactions and payments within a
short period of time. Your orders and requests
for funds and securities could be delayed during
this period.
Making sure that any type of disruption does not
unduly impact our customers 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 CCS. A complete copy of our Business
Continuity Plan is available to customers upon
written request, or for more information, you
can contact us by calling (608)
221-4545. |
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PRIVACY STATEMENT
BUSINESS CONTINUITY PLAN
U.S. PATRIOT ACT ORDER ROUTING
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COLTRANE SECURITIES IS A DIVISION OF
COORDINATED CAPITAL SECURITIES, INC.,
MEMBER
FINRA /
SIPC
706 River Place, Madison,
WI 53716
Phone (608) 222-4242
toll free (800)362-1002 fax
(608)442-1111
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