Business Continuity Plan

Business Continuity & Disaster Recovery Plan Disclosure

StoneCastle Securities, LLC has a business continuity plan to assess and manage the effects of a significant emergency disruption on its business operations and to provide continuity of critical business functions. Such critical business functions include entering of client orders and completing securities transactions.

(1) Procedures to back-up (duplicate and preserve) data in locations remote from our offices;

(2) Facilities and procedures that permit us to replicate, supplement, and replace all mission-critical systems;

(3) Procedures and facilities for alternative means of communications with customers and alternative locations and systems through which to conduct our business; and

(4) Procedures to remain in contact with critical vendors, suppliers, regulators and business partners and counterparties.

Although we have taken significant steps to develop and implement sound business recovery plans, we cannot guarantee that systems will always be available or recoverable after a disaster or significant business disruption. However, we believe that our planning for such events is sound and consistent with industry best practices.


Contacting the Firm
In the event of a significant business disruption, should you not be able to contact us as you normally do, you may reach us at the parent’s (StoneCastle Partners) Business Continuity office located at:

1719 Route 10
Parsippany, NJ, 07054
973-867-6100


Data Back-Up and Recovery (Electronic)
The firm maintains its primary hard copy books and records and its electronic records at the firm’s main office located at 152 West 57th Street, 35th Floor, New York, NY 10019. The Chief Compliance Officer is responsible for the maintenance of these books and records.

In addition, StoneCastle utilizes cloud backup services provided by Carbonite as well as Amazon Glacier Vault Lock.  Amazon Vault Lock is a FINRA and SEC certified backup service.