Vested Securities BCP Public Disclosure Statement - FINAL 05 APR 2022

Vested Securities, LLC – Business Continuity Plan Disclosure Statement Summary Plan Disclosure

Vested Securities, LLC (the “Firm”) has developed a Business Continuity Plan (the “BCP”) on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is 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 BCP.


Contacting Us:

If after a significant business disruption you cannot contact us as you usually do at (347) 353- 8592, you should call our alternative number at (619) 520-8522.


Our Business Continuity Plan:

We plan to quickly recover and resume business operations after a significant business disruption and to 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 BCP is designed to permit the Firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.


Our BCP 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 counterparty impact; and regulatory reporting.


Varying Disruptions:

Significant business disruptions can vary in their scope, such as only the Firm, a single building housing components of the Firm, the business district where components of the Firm are located, the city where we are located, or a whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only the Firm or a building housing components of the 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 applicable operations to a site outside of the affected area and recover and resume business within 48 hours. In either situation, we plan to continue in business, and notify you through our parent company’s website https://vested.co/ or our customer emergency number, (619) 520-8522, with how to contact us. 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 accounts.


For more information:

If you have questions about our business continuity planning, you can contact us at (347) 353- 8592 or securities@vested.co.

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Check the background of Vested Securities, LLC on FINRA's BrokerCheck and see the firm's Customer Relationship Summary here.

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While Vested, Inc. is not a broker-dealer, its affiliated subsidiary, Vested Securities, LLC (“VSL”), is a registered broker-dealer and member FINRA/SIPC. Prepaid Forward Contracts (“PFCs”), when brokered, are done so by VSL between share- or option-holders and funds. VSL does not have a direct relationship with investors in the funds.

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Form CRS Reg BI FAQs - CIP Public Notice -BCP Public Disclosure Statement