FINRA Rule 4370 requires us to disclose to you how the firm addresses the possibility of a significant business disruption and how the firm plans to respond to events of varying scope.


Solomon Partners is committed to servicing the needs of its clients in the event of a business disruption. The Firm intends to continue business operations and has implemented, and periodically tests, measures, and adjusts its continuity plans reasonably designed to enable the Firm to meet its existing obligations to its customers under a variety of possible emergency scenarios.


Contacting Us – If after a significant business disruption, you cannot contact us as you usually do you should go to our website at www.solomonpartners.com for additional information.

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 backup 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; and regulatory reporting.

Varying Disruptions – Significant business disruptions can vary in their scope, such as 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 a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 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 where possible within 48 hours. In either situation, we plan to continue in business, transfer operations to an alternate location if necessary, and notify you through our website www.solomonpartners.com.


For more information – If you have questions about our business continuity planning, you can contact us at 212-508-1600 or BCP@solomonpartners.com.