Business Continuity Disclosure Statement

Portico Capital Securities LLC (“Portico”) is committed to protecting the interests of our clients in the event of a Significant Business Disruption (“SBD”). In the event of an SBD, Portico plans quickly to recover and resume business operations and 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 company’s business continuity plan (“BCP”) is designed to permit us to resume operations as quickly as possible, subject to the scope and severity of the SBD.

Portico’s BCP addresses our 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; and critical supplier, contractor, bank, and regulatory reporting. Portico will review its BCP at least annually to modify it for any changes in our operations, structure, business or location.

In all cases, the Company will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.

Communications: In the event you are unable to reach the Company at our main number, please proceed as follows:

  1. Contact the Company at the following alternate telephone number: (203) 536-7425.
  2. Access the Company’s website at www.porticocap.com.
  3. Contact RFA, our IT services firm that handles all technology infrastructure for Portico, at the following telephone number: (212) 867-4600.
  4. Contact the FINRA Boston District office at the following telephone number for more information on the company’s status and additional instructions: (617) 532-3400.

If you have questions regarding our BCP, or would like a copy of it, you may contact us at steph@porticocap.com.