Business Continuity Plan
PFS Group in general and Puplava Securities, Inc. specifically have 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 is 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.
If after a significant business disruption you cannot contact us as you usually do at (858) 487-3939, you should call our alternative number (888) 486-3939, and if that doesn't work we have an analog line (858) 487-2320, or go to our website at www.puplava.com for instructions.
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; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing firm, National Financial Services LLC, backs up our important 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 transactions and accept new transactions and payments within specified times as mandated by the Securities Exchange Commission, NYSE, and NASD. Your orders and requests for funds and securities could be delayed during this period.
Significant business disruptions can vary in their scope, such as only our firm, a single building 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 times specified by the Securities Exchange Commission, NYSE, and NASD. 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 businesses in a timely fashion with emphasis on recovery of critical functions according to their time criticality. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site www.puplava.com or our customer emergency number, (858) 487-3939 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, you can contact us at (858) 487-3939 or email us.
Securities offered through Puplava Securities, Inc. Member FINRA/SIPC
Accounts are carried by National Financial Services LLC, Member FINRA/SIPC
Advisory services offered through Puplava Financial Services, Inc. Registered Investment Advisor
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If you are interested in opening an account, please complete our Request Information inquiry form or call us directly at (888) 486-3939 or (858) 487-3939.