Business Continuity Plan
BCP DISCLOSURE STATEMENT
John Thomas Financial ("the Firm") is a fully disclosed broker-dealer and member of FINRA, SIPC and NASDAQ. FINRA Rule 3510 requires each member firm to create and maintain a business continuity plan. In accordance with the rule the Firm has developed a plan to ensure the continuity of operations during business emergencies and disruptions.
The plan is designed to address key areas of concern including but not limited to the following:
Events creating a sudden business disruption (SBD) may vary in nature. They can affect only the Firm, the building where the Firm is located, the entire business district where the Firm is located, or a wider disruption, such as the entire regional where the Firm is located. The Firm fully intends to continue to conduct its securities business during periods of disruption of any and every type.
In the event an SBD prevents clients from contacting the Firm and/or their Financial Consultants by using the primary phone number, fax number, or email address of the location where the client's accounts are serviced, clients may contact the Firm and/or their Financial Consultants by using the secondary contact information provided below:
For clients whose accounts are serviced at the Firm’s corporate headquarters located at 14 Wall Street, 23rd Floor, New York, New York 10005, Telephone No. 212-299-7800 (Toll Free 800-257-1537), Fax No. 800-598- 9945.
Your Privacy Is Important To Us.
In the course of servicing your account John Thomas Financial will obtain personal information about you. Some of the information we obtain is required by law. Obtaining personal information about you also enables us to provide you with the best possible service. We are committed to maintaining the confidentiality of your personal information. Below we describe what personal information we obtain about you, with whom we may share it and what steps we take in order to safeguard your privacy.
Information We Obtain About You.
Upon opening an account you will be asked to provide us with personal information which includes, but is not necessarily limited to, the following:
Disclosure Of Your Personal Information Within John Thomas Financial.
Your personal information may be shared by personnel within John Thomas Financial or with its affiliates to the extent needed in servicing your account. John Thomas Financial is a registered Broker Dealer and as such must release your personal information to various regulatory bodies under whose jurisdiction it operates at their request in connection with audits, examinations and for other compliance purposes. We must also release your personal information in order to comply with federal, state or local laws, including service of process such as subpoenas.
Protection Of Your Personal Information.
Only personnel employed by or associated with John Thomas Financial who may need to do so have the ability to access to your personal information. When your information is accessed it is done either through password protected computer systems or retrieving your documentation from a locked area accessible only by authorized personnel.
John Thomas Financial Compliance Office