Broad Street Capital Markets has established a Business Continuity Plan that outlines procedures for rapid recovery of mission-critical systems and data so that we can resume business operations after a significant business disruption. Our Business Continuity Plan addresses a number of factors, depending on the nature, severity and effects of the disruption. Our objective is to restore operations and complete transactions within hours. Our Business Continuity Plan includes contingency plans for both internal and external business disruptions and addresses:

  • Ensuring the safety of our employees;


  • Backup and recovery of data;


  • Conducting financial and operational assessments;


  • Ensuring customer access to funds and account information;


  • Protecting customer information and records;


  • Restoring business operations and completing transactions.


A copy of our Business Continuity Plan is available upon request. Please submit your request to:


Compliance Department

Broad Street Capital Markets

494 Broad Street, Suite 206

Newark, New Jersey 07102


BUSINESS CONTINUITY PLAN