Continuity Plan
The following policies are designed to help you understand how we respond to significant business disruptions and how we will continue to service your account(s).
VSI Securities Business Continuity Plan
Because the timing and impact of disasters and disruptions are unpredictable, we must be flexible in responding to actual events as they occur. Accordingly, we provide the following information about our Business Continuity Plan.
Contacting Us
If after a significant business interruption you are unable to reach us at our main number +1 (305) 372-2446, please call our alternate numbers +1 (786) 859-6000 or +1 (786) 547-0893. You may also visit our website at www.vsisecurities.com.
If we cannot be reached through either of these means, you should contact our clearing firm, Pershing LLC, at +1 (201) 413-3635 or www.pershing.com for instructions on how to access your funds, securities, place orders, and conduct other related transactions.
What Does Our Business Continuity Plan Consist Of?
Our Business Continuity Plan is designed to enable us to recover and resume business after a significant disruption. We respond by safeguarding our employees and property, conducting an assessment of our physical and operational capabilities, protecting our records, and allowing our customers to perform their transactions. In summary, the Plan is designed to restore operations as quickly as possible depending on the magnitude and severity of the disruption.
Our Business Continuity Plan addresses: data backup and recovery; all critical business systems; financial and operational assessments; physical location of employees; the critical impact of suppliers, contractors, banks and counterparties; regulatory reporting; and assuring our clients prompt access to their funds and securities if we are unable to continue business.
Role of Our Clearing Firm
Our clearing firm, Pershing LLC, backs up important records of your account at a separate location. While each emergency situation presents unique problems based on external factors such as time of day and severity of the disruption, we have been advised by Pershing that their goal is to re-establish operations and be able to complete existing transactions and accept new transactions and payments within normal operating hours. Your orders and requests for funds and securities may be delayed during this period.
Variable Disruptions
Significant business disruptions may vary in scope, affecting only our firm, one of our buildings, the business district where our office is located, or the entire region. Within each of these areas, the intensity of the disruption may also vary from minimal to severe. In case of a disruption affecting only our firm or our building, we will transfer our operations to an alternate location if required and expect to recover and reestablish activities in the shortest possible period of time. During an outage affecting our business district, city or region, we will transfer our operations to a location outside the affected area, and we will recover and reestablish our own operations as quickly as possible. In any event, we plan to continue operations, transfer certain operations to our clearing firm if necessary, and notify you through our website at www.vsisecurities.com or our customer emergency number +1 (786) 859-6000.
In the event that the disruption is so severe that we are unable to remain active, we assure our clients that they will have prompt access to their funds and securities.
For More Information
If you have questions about our Business Continuity Plan, please contact us at +1 (305) 372-2446 or compliance@vsisecurities.com.
Last updated: May 2026