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Home > Financial Services > Stock Brokers > White Mountain Capital, Llc
White Mountain Capital, Llc
White Mountain Capital, Llc is a member of NASD, the National Association of Securities Dealer. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
White Mountain Capital, a full-service investment firm serving individuals, corporations and institutions. Their investment strategies are generally conservative, designed to achieve modest growth while protecting your assets from undue risk. They specialize in fixed-income instruments such as Municipal Bonds, US Treasuries, Natural Gas & Oil Trusts, and preferred Equities etc.
WMC has developed a Business Continuity Plan to provide procedures for response and recovery in the event of a significant business disruption. The purpose of the Plan is to identify responsible personnel in the event of a disaster; safeguard employee lives and firm property; estimate the situation and initiate appropriate action recover and resume operations to allow continuation of business provide customers with access to their funds and securities and protect books and records. It is the policy of White Mountain Capital to continue its business operations in the event of a significant business disruption.
The Plan was developed considering the systems critical to support business, types of business conducted and geographic dispersion of offices and personnel. The Plan is designed for implementation in the event of a disaster that results in a significant business disruption. They maintain physical, electronic and procedural safeguards to guard your nonpublic personal information.
The Securities and Exchange Commission has recently adopted two rules to enhance the visibility of execution quality of the U.S. securities markets for public investors. Mountain’s Clearing Agent maintains records for White Mountain under the terms of the clearing agreement. Pershing has developed a disaster and recovery plan to recover and retrieve records lost in a disaster affecting White Mountain Capital and or Penson.
All White Mountain Capital operational facilities are equipped for continuation of business and tested annually. Their recovery time objective for business resumption, including those involving a relocation of personnel or technology, is five hours. This recovery objective may be negatively affected by the unavailability of external resources and circumstances beyond their control.
White Mountain Capital takes initiative in the event of a building, city-wide, or regional incident, including relocating operational personnel to pre-assigned alternate regional facilities.
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