Business Continuity & Disaster Recovery Plan Disclosure

StoneCastle Securities, LLC has a business continuity plan to assess and manage the effects of a significant emergency disruption on its business operations and to provide continuity of critical business functions. Such critical business functions include entering of client orders and completing securities transactions.

(1) Procedures to back-up (duplicate and preserve) data in locations remote from our offices;

(2) Facilities and procedures that permit us to replicate, supplement, and replace all mission-critical systems;

(3) Procedures and facilities for alternative means of communications with customers and alternative locations and systems through which to conduct our business; and

(4) Procedures to remain in contact with critical vendors, suppliers, regulators and business partners and counterparties.

Although we have taken significant steps to develop and implement sound business recovery plans, we cannot guarantee that systems will always be available or recoverable after a disaster or significant business disruption. However, we believe that our planning for such events is sound and consistent with industry best practices.

Contacting the Firm
In the event of a significant business disruption at our main office location, you should be able to contact us as you normally do by calling the main desk at (212) 887-1171. In the event that our main number is incapacitated, you can call our alternative desk number at (801) 745-2451.

The Firm has the option to relocate staff to offices at 175 Pinelawn Road, Ste. 105, Melville, NY 11747, the location of our compliance consultant, Asgard Regulatory Group LLC. Asgard’s main telephone number is (631) 801-2900.

Data Back-Up and Recovery (Electronic)
The firm maintains its primary hard copy books and records and its electronic records at the firm’s main office located at 152 West 57th Street, 52nd Floor, New York, NY 10019. The Chief Compliance Officer is responsible for the maintenance of these books and records.

In addition, StoneCastle utilizes cloud backup services provided by Carbonite as well as Amazon S3 Glacier Vault Lock.