Business Continuity Plan

Guggenheim Securities, LLC (the “Firm” or “us”) has developed a Business Continuity Plan (the “BCP”) with a view to a timely and coordinated response to events that may significantly disrupt our business.  As the timing, severity, and impact of disasters and disruptions is unpredictable by nature, the BCP must be flexible in responding to actual events as they occur.


The Firm’s goals in responding to a Significant Business Disruption (“SBD”) are to take steps to safeguard the Firm’s employees and property, make a financial and operational assessment of the situation, protect the Firm’s books and records, and allow the Firm to transact business. The BCP is designed to allow the Firm to resume operations as quickly as possible, given the scope and severity of the SBD.  Recovery planning is considered an integral part of Guggenheim Securities’ approach to risk management.

The BCP addresses the following areas:

  • Emergency response
  • Action plans and communications
  • Alternate physical location of employees
  • Business impact analysis
  • Mission critical systems
  • Key service providers
  • Daily backup process
  • Redundant architecture
  • Recovery assumptions and priorities
  • Annual testing and training
  • Epidemic/pandemic planning

The Business Continuity Plan is not a static binder of information.  Rather, it serves as a dynamic repository for critical information that, in Guggenheim Securities’ greatest time of need, will provide clear instruction and direction to business resumption.

In the event a disaster is declared, employees will be notified via a call blast system.  Mission Critical systems will be accessed from remote site locations and the employee’ place of residence in the case of a disaster.