Business Continuity Plan Information

Stonecrest Capital Markets, Inc., a Stonecrest Partners company, maintains a Business Continuity Plan (Stonecrest’s BCP) in the event of a Significant Business Disruption (SBD) to safeguard employees’ lives and firm property, make a financial and operational assessment, quickly recover and resume operations, protect all of the firm’s books and records, and allow our customers to transact business.  In the event that we determine we are unable to continue our business, we will assure customers prompt access to their funds and securities.

 

Stonecrest Capital Markets does not maintain custody of customers’ funds or securities. Customer accounts are maintained at our clearing firm, Pershing LLC, or at the product issuers. 

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In the event of a SBD, if telephone service is available, our registered persons will take customer orders or instructions and contact our clearing firm, the product sponsor or offeror on their behalf, or provide information to the customer with information on contacting the clearing firm, product sponsor or offeror.

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If Pershing were to experience a significant business disruption, Pershing’s BCP outlines their actions, including relocating technology and operational personnel to preassigned alternate regional facilities.  For further information, see link to Pershing's BCP.

  

Client Instructions

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If Stonecrest Capital Markets were to experience a significant business disruption and your registered representative cannot be reached, alternative contacts are given below:

Stonecrest Capital Markets BCP Primary Contact
John Randolph - CEO, CCO
(512) 275-6515

 

Stonecrest Capital Markets BCP Secondary Contact
Dave Jones, Director of Operations
(512) 275-6520

 

Pershing LLC
P.O. Box 20165
Jersey City, NJ 07303-2065
Fax number (201) 413-5368