FINRA DISCOSURES
FD Capital Advisors, LLC and its broker-dealer affiliate, FD Capital
Advisors BD, LLC (together, "FD Capital Advisors" or the “Firm”)
provide financial advice on mergers, acquisitions, financial restructurings
and similar corporate finance matters. FD Capital Advisors BD, LLC is
not a retail broker-dealer, and it does not conduct underwriting activities,
provide research or analyst reports or solicit or carry accounts for,
or offer or sell securities products to retail customers. FD Capital Advisors
BD, LLC is regulated by the Financial Industry Regulatory Authority, Inc.
(www.finra.org).
Links:
www.finra.org
www.sipc.org
Disclose Regarding Business Continuity
In accordance with FINRA regulations and in an effort to provide optimal
service, FD Capital Advisors maintains a business continuity plan, which
addresses how the Firm works through interruptions to its normal course
of business. This plan is reviewed and updated, as necessary, on an annual
basis.
Contacting Us
If after a significant business disruption you cannot contact us as you
usually do please call our alternative number 404.253.7500 (Jeremy Sperring)
Our Business Continuity Plan
We plan to quickly recover and resume business operations after a significant
business disruption and respond by safeguarding or employees and property,
making financial and operational assessments, protecting the firm's books
and records, and allowing our customers to resume business transactions.
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 disruption.
All emails, both incoming and outgoing, are captured on an SEC compliant archiving server made by Jatheon. This provides a real-time backup of all emails both incoming and outgoing, stores copies of our emails in the case of server loss, and allows emails to be reviewed and audited for compliance.
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 any case we will do everything possible to resume normal business as quickly as possible while ensuring the safety or our employees and the integrity of client data. In any situation, we plan to continue in business and notify you through our web site (http://www.fdcapitaladvisors.com) or by telephoning our clients from a client list taken offsite monthly and stored in a safety deposit box of which all key personnel will have access. Assuming telephony is working and available we plan to continue using our customer business phone numbers for additional access for our customers. If the significant business disruption is so severe that it prevents us from remaining in business, we will inform our clients immediately.
For more information
If you have questions about our business continuity planning, please submit a written request to:
FD Capital Advisors BD, LLC
600 Peachtree St., Suite 1950
Atlanta , GA 30308