Business Continuity Plan Disclosure

Dowling & Partners Securities LLC developed a plan that it believes will result in minimal disruption to its customers in the event of a disaster. The plan includes the ability to continue operations from alternate sites and/or to restore information and data from electronic backups it makes of its systems.

Dowling & Partners Securities LLC protects its business information, operations, and customer data from unexpected disruptions by preparing and testing its primary and backup systems. These measures help ensure continued operations during a business interruption and are designed to:

  • Provide for the recovery of our technology infrastructure and information
  • Prevent the loss of company or customer information.
  • Allow us to continue to conduct our primary business functions

The Framework of Our Disaster Recovery Plan

Our Disaster Recovery Plan is constructed with the goal that we should be able to recover and resume normal operations. Our BCP is designed to permit our firm to resume operations in a reasonable amount of time at a secure remote location, given the scope and severity of a major event.

To accomplish this, we have:

  • We have established firmwide processes to continue or promptly resume critical business functions. These processes address potential disruptions of varying types, scopes—including single-facility, local, and regional events—and durations.
  • Arranged offsite workspace for personnel and data systems if an incident makes our facilities unusable. This arrangement covers OSJs and non-supervisory locations, enabling us to respond to your inquiries.
  • Created a protocol to test our Disaster Recovery Plan. At a minimum, the Firm business continuity plan is reviewed and updated on an annual basis. Additionally, our primary internal and external application providers periodically conduct testing of their own back-up capabilities to ensure that, in the event of an emergency or significant business disruption, they will be able to provide us with the critical information and applications we need to continue or promptly resume our business.