Business Continuity Planning -
Customer Disclosure Statement

GMP Securities, LLC 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 be flexible in responding to actual events. 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 (800) 452-4528 or +1 (212) 692-5100 or through Bloomberg or internet email, you should call our alternative number +1 (214) 387-0255 or go to our web site at If you cannot access us through either of those means, you should contact our clearing firm, J.P. Morgan Clearing Corp. at +1 (212) 552-1919 for liquidating orders, check and wire requests, and ACAT transfers only.

Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and will 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, 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, J.P. Morgan Clearing Corp., has several information technology processing and backup sites that, collectively, provide the redundancy required to protect their books and records. 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 stated recovery times for mission critical systems range between real time recovery and 4 to 12 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. The disruption might affect only our firm, or a single building housing our firm, or the business district where our firm is located, 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. It is our intention to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site at or through messages recorded on our customer emergency number, +1 (214) 387-0255. However, 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 +1 (212) 692-5100 or at or at our customer emergency number +1 (214) 387-0255.

The Firm's business continuity strategy is designed to enable us to meet our existing obligations to our clients and customers even in the event of an emergency or significant business disruption. The plan is designed to work in many different emergency situations; but these events are, by their nature, unpredictable and it is impossible to anticipate every scenario that could cause a business disruption. Furthermore GMP Securities, LLC has no control over the various entities that we must rely upon in the event of an emergency.

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