Business Continuity Plan

The Imperial Capital, LLC Business Continuity Plan outlines our intended response to any events that might significantly disrupt our business. Although we must remain flexible in our response to actual events as they occur -- after all, the timing and impact of disasters and disruptions is unpredictable -- the following details regarding Imperial's business continuity plan are hereby made available for your information.

Contacting Us

If after a significant business disruption you cannot contact us as you usually do at 800-929-2299, call our alternative number 310-246-3700 or our New York office number 212-351-9700. If you cannot access us through either of those means, contact our clearing firm, Pershing LLC, at 800-729-6355 for instructions on how it may process trade-related transactions and provide access to funds and securities (including disbursements and/or transfers).

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 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.

Our clearing firm, Pershing LLC, 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 within four (4) hours. 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 those only limited to 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 remote site when needed and expect to recover and resume business within twenty-four (24) hours. 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 (24) hours. In either situation, we plan to continue business and notify you through our website at, e-mail or our customer emergency number, 800-929-2299. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers' prompt access to their funds and securities.

For More Information

If you have questions about our business continuity planning, you can contact us at 800-929-2299 or