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Business Continuity Executive Summary Alliance Advisory & Securities, Inc.

Alliance has 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.

Contacting Us

If after a significant business disruption you cannot contact us as you usually do via telephone or e-mail, you should go to our web site at http://www.allianceadvisory.com where we will list an alternative telephone number and/or e-mail address where we can be reached. If you cannot access us through either of those means, you should contact the custodian of your investment accounts to access your funds and securities, enter trade orders and process other trade-related, cash, and security transfer transactions. You can find the telephone number for the custodian of your investment accounts on the statements you receive from the custodian. In addition, in the event of a significant business disruption we will post on our web site the telephone numbers for the custodians with which we do business.

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 clients 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 clients, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our clients prompt access to their funds and securities if we are unable to continue our business.

The custodians with which we do business back up our important records in locations geographically separate from our firm. 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 and custodians that their objective is to restore their own operations and be able to complete existing transactions and accept new transactions and payments within four hours. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions

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 four hours. 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 business within one day. In either situation, we plan to continue in business, transfer operations to your custodian if necessary, and notify you through our web site how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our clients prompt access to their funds and securities.

For more information

If you have questions about our business continuity planning, you can contact your financial advisor. Additionally, you can contact our back office via telephone at (805) 371-8020, or via e-mail at info@allianceadvisory.com.


Investment advice and securities offered through Alliance Advisory & Securities, Inc.
A registered investment advisor and broker/dealer. Member FINRA (www.finra.org) & SIPC (www.sipc.org). Broker Check (www.brokercheck.finra.org).