Additional Disclosures
Anti-Money Laundering Disclosure
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 opens an account. What this means for you:
When you engage with Equity Hill Capital, LLC, we will ask for the names, addresses, and other identifying information that will allow us to identify the owners and management/control persons of institutions that are parties to a potential transaction.
For any further information regarding these disclosures, please feel free to contact us at info@equityhillcapital.com or (203) 298-3672.
SIPC Disclosure
Equity Hill Capital, LLC is a member of the Securities Investor Protection Corporation ("SIPC"). Please note that the business that Equity Hill Capital, LLC conducts is not covered by SIPC insurance. Visit www.sipc.org for more information about SIPC coverage.
Business Continuity Plan Disclosure
Equity Hill Capital, LLC has developed a Business Continuity Plan 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 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.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (203) 298-3672, you should call our alternative number (626) 356-0200.
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; alternate communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counterparty impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our internal IT systems as well as our data archiving vendors, back 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 data archiving vendors that their primary objective is to restore and provide us access to all of our records as well as our client's records within 48 hours.
Varying Disruptions – Significant business disruptions can vary in size and scope, such as only our firm's office, 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 the event of a significant business disruption, we have plans to place to move to a back-up location or remote locations as necessary. In either situation, we plan to continue our business, transfer operations to an alternative work location if necessary, and notify you through our website or our customer emergency number, (203) 298-3672, how to contact us.
For more information – If you have questions about our business continuity planning, you can contact us at info@equityhillcapital.com or (203) 298-3672.
FINRA Public Disclosure Information
FINRA Rule 2267 requires the following information be provided to you: (1) The FINRA BrokerCheck hotline number is 1-800-289-9999; (2) The FINRA Website address is www.finra.org and (3) FINRA has a brochure available describing FINRA BrokerCheck.
Other
Equity Hill Capital, LLC does not provide legal, tax or accounting advice. You should not rely on Equity Hill Capital, LLC for any legal, tax or accounting related analysis. You should consult your own advisors. The material on our website is for informational purposes only and does not constitute advice for a transaction.