Business Continuity Plan

Thurston Springer is committed to providing reliable, trustworthy service that represents the best interests of our clients.

Our Business Continuity Plan is shared by Thurston Springer Financial (CRD# 8478) and Thurston Springer Advisors (CRD# 299201). These firms are collectively referred to as Thurston Springer in this document.

Thurston Springer has developed a Business Continuity Plan to protect clients and employees in the event of an emergency or significant business disruption. 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 Business Continuity Plan.

The Plan is designed to help prepare for securing employees’ safety and firm property, making financial and operational assessments, promptly recovering and resuming operations, protecting the firm’s books and records, and allowing our clients to transact business and to access to their funds and securities. 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.

The Business Continuity Plan considers various scenarios that range in severity from a firm or building-only disruption to an emergency situation on a local or regional level. For example, in the event any Thurston Springer office location becomes inaccessible, alternative locations have been established and prepared to allow Thurston Springer to continue to conduct business operations at alternate locations. The firm has redundancies in place for its business-critical systems and believes that it can usually be able to resume business within the same day as the disruption. Our goal in all situations is to return to normal business conditions as soon as possible, with minimal impact on our clients and employees. Even in an extreme situation where continuing business may not be possible or practical, Thurston Springer has plans in place that provide clients uninterrupted ability to transact business and to access to their funds and securities.

Contact us for office locations and phone numbers.

Our clearing firm backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that should it experience a significant business disruption, its objective is to provide the best possible recovery solution to our firm and clients.

Thurston Springer’s Business Continuity Plan is subject to change at any time without notice. Updated plans will be promptly posted on our website:

If you have questions about our Business Continuity Plan, please contact us.

Thank you, and we appreciate your business.

Thurston Springer does not guarantee that for every disaster or business disruption, such plans will be successfully implemented or that such plans will be sufficient and appropriate to avoid, deter, or mitigate the disaster or business disruption.

revised 10.27.2021