Navian Capital Securities, LLC – Business Continuity Planning
Navian Capital Securities, LLC plans to quickly recover and resume business operations after a Significant
Business Disruption (“SBD”) 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, including gain access to their funds or securities. In short, our Firm’s Business Continuity Plan (“BCP”)
is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.
The BCP 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, Axos Clearing, 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 24
to 48 hours. Your orders and requests for funds and securities could be delayed during this period. The product
sponsor or issuer maintains all records related to your investments and account holdings and backs up
important records in accordance with their business continuity plan. For more information on their contingency
plan, please contact the sponsor or issuer directly at the telephone number provided on your statements or
through their website.
Significant Business Disruptions: The Firm’s plan takes into account two kinds SBD’s: internal and external.
Internal SBDs: In the event of a disruption in the Firm’s business operations due to an internal SBD, we will
attempt to continue to conduct business as usual by utilizing alternative communication methods (if available),
such as the Internet, cell phones, etc., or by moving our operations to an alternative location. If personnel or
operations must be moved to an alternate location, we anticipate that we will resume regular operations with
24 to 48 hours.
External SBDs: In the event of a disruption in the Firm’s business operations due to an external SBD, we will
attempt to continue to conduct business as usual by moving its operations to an alternative location outside
the affected area, if possible, or by providing customers with alternative communication arrangements, as
indicated below, to conduct business or to access their funds and securities. The Firm will attempt to resume
business within 24 to 48 hours and to keep our customers informed regarding relevant events to the best of
its ability based on the circumstances. In all cases, we will resume normal business operations as soon as it is
able to do so, based on the type and the extent of the disrupting event. If the SBD is so severe that it prevents
us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
Communications: In the event you are unable to reach us at our main number, please proceed as follows:
1. Contact us at the following alternate telephone number: (877) 213-6570;
2. Contact our clearing firm (AXOS) directly at one of the following telephone numbers to process
transactions or for information on your holdings: (402) 384 2042 or (402) 384 6101;
3. Contact the product sponsor directly at the number listed on your most recent statement;
4. Access the clearing firm, product sponsor or issuer website for more information on contacting this
entity and their business continuity plans. The website address can generally be found on your
statement or offering documents.
Firm Contact information: Any questions regarding our Business Continuity Plans should be addressed to:
Name/Title: Paul Stache, Chief Compliance Officer; Address: 425 Walnut Street, Ste. 2410 Cincinnati, OH
45202; Phone: (631) 595-5309; Fax: (513) 672-9445; E-mail: email@example.com