ROTH’s Business Continuity Plan Disclosure Statement
Click here to view this statement in pdf format.
Roth Capital Partners, LLC (“ROTH”) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, Roth will have to be flexible in responding to actual events as they occur. With that in mind, Roth is providing you with this information on its business continuity plan.
Contacting Us - If after a significant business disruption you cannot contact us as you usually do at (949) 720-5700, you should call our alternative number (949) 375-0579 or go to our web site at
www.roth.com. If you cannot access us through either of those means, you should contact our clearing firm, Broadcort, a division of Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Broadcort”), at 646-743-0110 for instructions on how you can enter orders, access your funds and other account related information.
Our Business Continuity Plan – ROTH plans 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 back up 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.
ROTH’s clearing firm, , backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments as quickly as possible. Your orders and requests for funds and securities could be delayed during this period.
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. 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 one day. 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 three days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site
www.roth.com or our customer emergency number, (949) 375-0579 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
For more information – If you have questions about our business continuity
planning, you can contact us at (949) 720-7147 or