Business Continuity Plan Disclosure


Madison Avenue Securities, LLC (Madison), otherwise referred to as “MAS”, has developed a Business Continuity Plan (“BCP”) as a contingency to mitigate any impact of possible future business interruptions. In our BCP, we outline how we continue to conduct business in the event of a Significant Business Disruption (“SBD”). MAS plans to quickly recover and resume business operations should there be an SBD and respond by safeguarding employees’ lives and firm property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our clients to transact business.

Contacting Us

Our Headquarters is located at: Madison Avenue Securities, LLC, 13500 Evening Creek Drive N, Suite 555, San Diego, CA 92128. Our main number is 888-627-7323. If after a significant business disruption you cannot contact us as you usually do, you should contact your personal investment professional directly, or may go to our website at to obtain alternative contact information if available.

Business Continuity Plan

Our Business Continuity Plan addresses data backup and recovery, all mission critical systems, financial and operational assessments; alternative communication with our clients, employees, regulators; alternative physical locations of employees, critical suppliers, contractors, banks and counterparty impact; regulatory reporting and assuring clients of prompt access to their funds and securities if we are unable to continue business due to an SBD. Our clearing firm, Pershing, LLC backs up its important records in a geographically separate area.


Our firm’s BCP is designed to meet our existing obligations to clients in the event of an emergency or significant business disruption; however, it is not infallible. The unpredictable nature of some events may make it impossible to anticipate every scenario that could cause a business disruption. Although we are confident in our own preparedness, MAS has no control over the third party entities that we must rely upon in the event of an emergency. We test our Business Continuity Plan from time to time to ensure our readiness; yet these tests may not replicate conditions we would experience in a real emergency. Our BCP is subject to change without notice. This is provided to you for informational purposes only.


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