TEL: (415) 889-1010

US Capital Global Securities, LLC

US Capital Global Securities, LLC (“USCGS”) has developed a Business Continuity Plan (“BCP”) 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 have to be flexible in responding to actual events as they occur. 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 at our main office at +1 (415) 889-1010 or via email at

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption 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 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 backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, 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.

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our Firm, a single building housing our Firm, the business district where our Firm is located, 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.

Building Not Accessible
In a disruption to only our Firm or a building housing our Firm, we will transfer our operations to a local site when needed and expect to recover and resume business within twenty four hours or a reasonable timeframe conditions permitting.

Regional Disruption
In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within twenty four hours or a reasonable time frame conditions permitting.

In either situation, we plan to continue in business and notify you through our website or via other means.

The BCP is subject to modification and we may update this summary periodically.  Customers may obtain an updated summary by requesting a copy in writing.  In conclusion, USCGS has a robust business continuity program that is focused on customer service, the safety of employees and risk mitigation.

For more information – If you have questions about our business continuity planning, please contact us at +1 (415) 889-1010.