Our broker dealer Growth Capital Services has developed a Business Continuity Plan (BCP) as part of our ongoing contingency planning efforts to mitigate the impacts of business interruptions. Since disasters and disruptions are 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.We plan to quickly recover and resume business operations after a Significant Business Disruption and respond by safeguarding employees’ lives and firm property, 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:
Significant business disruptions can vary in their scope. For example, an SBD could affect 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 any situation, we plan to continue in business, and notify you through our web site or our main customer number regarding how to contact us. This plan is reviewed periodically and subject to modification without notice. A written copy of the summary of this plan is provided to customers at account opening, posted on the firm’s website, and provided to customers upon request. If you have questions about our business continuity planning, please contact us at your convenience.
Impactdirectadvisors.com (the “Impact Direct Advisors (IDA) Website”) is a website operated by ImpactDirectAdvisors, LTD, a MA-based Corporation. IDA offers business strategy consulting services in areas including investment advisory services, marketing and brand strategy, business and product development, especially with respect to Impact investing. Other services, such as securities-related private placement services, are offered separately by Impact Direct Advisors principals in their capacity as registered representatives of Growth Capital Services, Inc. (“GCS”), a licensed broker-dealer and member of FINRA/SIPC, office of supervisory jurisdiction located at 582 Market Street, Suite 300, San Francisco, CA 94104. When Impact Direct Advisors's principals provide securities placement services to you through their GCS affiliation, their obligations to you and the nature of your relationship will differ from when they provide other services. Impact Direct Advisors is not a registered broker dealer, and GCS and Impact Direct Advisors are separate entities. You can find more information about the relationship between GCS and its licensed affiliates here and through FINRA Broker check. PRIVATE PLACEMENT INVESTMENTS ARE NOT FDIC INSURED, ARE NOT A DEPOSIT WITH GCS, AND ARE NOT GUARANTEED BY GCS OR ANY OF ITS AFFILIATES. NEITHER THE SECURITIES AND EXCHANGE COMMISSION NOR ANY FEDERAL OR STATE SECURITIES COMMISSION OR REGULATORY AUTHORITY HAS RECOMMENDED OR APPROVED ANY INVESTMENT, OR THE ACCURACY OR COMPLETENESS OF ANY INFORMATION OR MATERIALS PROVIDED BY OR THROUGH THE [THE COMPANY], GCS, OR THEIR RESPECTIVE AFFILIATES. ANY INVESTMENT MAY RESULT IN PARTIAL OR TOTAL LOSS, AND INVESTORS MUST BE ABLE TO AFFORD THE LOSS OF THEIR ENTIRE INVESTMENT.Securities offered through Growth Capital Services, member FINRA, SIPC
582 Market Street, Suite 300, San Francisco, CA 94104. Please refer to FINRA BrokerCheck for information about Brian Chiappinelli and Growth Capital Services.
The required hyperlinks are as follows:
Growth Capital Services www.growthcapitalservices.com
FINRA BrokerCheck https://brokercheck.finra.org
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