Business Continuity Plan
CapitalValue Advisors, LLC has developed a business continuity plan to 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 events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
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; regulatory reporting; and assuring our customers prompt access to their funds and securities, and books and records, if we are unable to continue our business.
Varying Disruptions – Significant business disruptions can vary in scope; they might 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 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 one business day. In a disruption affecting our business district, city, or region, we will recover and resume business as soon as practicable. In either situation, we plan to continue in business and notify you through our customer emergency number, 303-333-0568, on 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 funds, securities, books, and records.
For more information – If you have questions about our business continuity planning, you can contact us at 720-733-0400.
CapitalValue Advisors, LLC
101 University Boulevard, Suite 400
Denver, CO 80206
CapitalValue Advisors, LLC recognizes the importance of keeping our customers’ confidential financial information private. This is a top priority for CapitalValue Advisors, LLC. This notification, which is required by law, explains our Privacy Policies. Please note we will consult government-provided lists of known or suspected terrorists for individual clients and those who can transact business on behalf of institutional clients.
- We will safeguard, according to strict standards of security and confidentiality, nonpublic, personal information our customers share with us. “Nonpublic, personal information,” for example, would include such information as your name, address, social security number, and date of birth. We will maintain safeguards, physical and electronic, and conduct our business in a manner that keeps personal customer information secure.
- We will limit the collection and use of customer information to the minimum we require to deliver superior service and to administer our business, recognizing, however, that we do need to obtain information to make suitable recommendations and to conduct appropriate “due diligence” in our investment banking business. We may collect personal information from customers from the following sources:
- From customers on questionnaires, subscription agreements and related forms;
- From your transactions with us, our affiliates and others;
- From background checks (not consumer reports);
- From non-affiliated third parties.
- It is our policy that only authorized employees of CapitalValue Advisors, LLC, their agents, and their staff who need to know your personal information will access and use it. Employees of CapitalValue Advisors, LLC who violate our Privacy Policies are subject to discipline.
- It is our policy that we will not share personal customer information (of either current or former customers) outside of CapitalValue Advisors, LLC for any purpose other than the providing of investment banking services or the brokering or underwriting of securities transactions on behalf of the customer, unless the disclosure has been authorized by the customer or is permitted by law.
- Whenever we retain other organizations to provide support services on behalf of CapitalValue Advisors, LLC we will require them to protect customers’ personal information.
- When necessary, we will review and revise our Privacy Policies to protect personal customer information and will update this Privacy Notice accordingly.
Annual Investor Education and Protection Disclosure
The FINRA requires that we notify our customers of the following information annually:
- The FINRA regulation website can be found at www.finra.org
- The FINRA Disclosure Hotline Program phone number is 1 800 289-8989, open 8AM to 8PM EST.
- FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. It is a good resource for investors turn to when choosing whether to do business with a particular broker or brokerage firm. More information is found at:http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/
USA Patriot Act Notice
Important Information About Procedures for Opening a New Account
To help the government fight the funding of terrorism and money-laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who transacts business with CapitalValue Advisors, LLC.
Client Quotations and Testimonials
Please note that the client quotations and testimonials contained in this website may not be representative of the experience of other clients, and are not intended as a guarantee of the firm’s future performance or success.
The tombstone announcements contained on the CapitalValue Advisors website appear as a matter of record only.