Business Continuity Plan

Carleton McKenna Advisors, LLC Business Continuity Plan

Carleton McKenna Advisors, LLC has developed a Business Continuity Plan, as required by FINRA Rule 4370(e), 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.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (216) 523-1962, you should call our alternative numbers (440) 521-4853 or (216) 832-5449.

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 critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; an alternate physical location of employees; critical suppliers, contractors, bank and counter-party impact, and regulatory reporting.

While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, it is our objective to restore our operations within approximately 24 hours.  Your request for service and/or information could be delayed during this period.

Varying Disruptions – Significant business disruptions can vary in size and scope, such as a disruption to only our firm, or a single building housing our firm, or 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 24 hours.  In a disruption affecting our business district, city, or region, we will transfer our operations if possible to a site outside of the affected area, and recover and resume business within 72 hours.  This time frame for recovery may be impacted by circumstances outside of our control.

For more information – If you have any questions about our business continuity plan, please contact us at (216) 523-1962.