Truvvo Capital Services LLC (“Truvvo”) is a registered broker-dealer and member of The Financial Industry Regulatory Authority (www.finra.org).
Truvvo is a member of the Securities Investor Protection Corporation ("SIPC"), which protects customers of its members up to $500,000 in securities (including $100,000 for claims for cash). You may obtain information about SIPC, including the SIPC brochure, by contacting SIPC at http://www.sipc.org or by writing to Securities Investor Protection Corporation, 805 15th Street, N.W. Suite 800, Washington, D.C. 20005-2215, or by calling them at Tel: (202) 371-8300. SIPC's facsimile number is (202) 371-6728 and their e-mail is: email@example.com. This protection is not equivalent to and is separate and apart from FDIC insurance.
Investing in securities involves risks, including potential loss of principal. You should review any planned financial transactions that may have tax or legal implications with your personal tax or legal advisor.
Truvvo Capital Services LLC
Business Continuity Plan Disclosure Statement
Truvvo Capital Services LLC has developed a Business Continuity Plan identifying 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 any unanticipated events that might occur. With that in mind, we are providing you with this information regarding our business continuity planning.
Our Business Continuity Plan – We plan to recover and resume business operations after any significant business disruption as soon as practicable. We will safeguard our employees and property, make financial and operational assessments of the scope and severity of the disruption, and protect, recover, and (if necessary) reproduce our books and records and key client files. In short, our Business Continuity Plan is designed to permit our firm to resume operations as quickly as practical, given the scope and severity of the significant business disruption.
Our Business Continuity Plan addresses: information back-up and recovery; financial and operational assessments; communications with clients, employees, and regulators; regulatory reporting; alternative physical location of employees or business operations; and potential affects to our critical service providers and clients. In particular, we have retained third-party service providers for information back-up services to ensure that we can recover and reproduce our primary books and records and key client files if necessary. We also have considered how to re-establish services with our critical service providers and clients, should a disruption affect others outside of our firm.
Varying Disruptions – We recognize that significant business disruptions can vary in scope, potentially affecting our firm, our building, our business district, or our larger community. We recognize that significant business disruptions can vary in severity as well, from the minimally disruptive to the severe. If a disruption affects only our firm or our office building, we will use our best efforts to transfer our operations to another site or sites and to resume business operations within 48 hours. If a disruption affects our business district or our larger community, we will review the situation and resume business operations as soon as practical. Regardless of the scope or severity of the disruption, however, we expect to remain in business. We will use our best efforts to keep you informed of the steps we are taking to address the disruption as well as how to contact us if any of our contact information changes. In the unlikely event that a business disruption is so severe that it prevents us from remaining in business, we will discuss alternative arrangements with you.
Contacting Us After A Significant Business Disruption – If we have a significant business disruption, you may contact us at our regular phone number: (212) 488-4700. We will provide information about our business operations through that number. If this number is not functioning, please contact us via e-mail. You can reach our Chief Compliance Officer at: firstname.lastname@example.org. If both of our phone and e-mail systems are inoperative, we will use our best efforts to reach out to contact you to inform you of the status of our business operations.
For More information – If you have any questions about our business continuity planning, please contact Joseph M. Kopilak, our Chief Compliance Officer, at the address below. In addition, please contact Mr. Kopilak if you have any inquiries or complaints about our business. Mr. Kopilak can be reached at: phone - (212) 488-4700; address - Truvvo Capital Services LLC, 280 Park Ave., 23rd Floor, New York, N.Y., 10017; e-mail – email@example.com.