Disclosures & ADV
Dear Valued Client:
All of us at the Plan B Investments, Inc. would like to thank you for the opportunity to service your investment needs. An integral component of that service is providing you continued access to your account assets. In today’s world of electronic communications and networked businesses, various events could interrupt primary routines of conducting business. We would like to take this opportunity to assure you that we have plans in place for continuing service to our clients during business emergencies.
Plan B Investments, Inc. 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 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.
Contacting Us - If after a significant business disruption you cannot contact us as you usually do, you should call our alternate number (818) 259-4403. If you cannot access us through either of those means, you should contact the clearing firm for instructions on how it may provide prompt access to your funds and securities. As the custodian of your funds and securities, TDA is prepared to address your questions.
Our Business Continuity Plan - 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. 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, allowing our customers to transact business.
The plan addresses data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business. In the event a disruption prohibits the use of our main office, we have alternative locations available so we may continue to serve your financial needs.
Varying Disruptions - Significant business disruptions can vary in their scope, such as natural causes (acts of nature, earthquakes, fires, and floods) technical causes (communication failures, hardware, and software disruptions). If a disruption occurs to the extent applicable, we will transfer our operations to a remote site when needed and expect to recover and resume business within twenty-four hours. In a disruption affecting our business area or city, we will transfer our operation to a site outside of the affected area, and recover and resume business within twenty-four hours. In either situation, we plan to continue to conduct business, and notify you through our website at www.planbii.com, e-mail or our customer service number 1-888-511-4611. If the significant business disruption is so severe that it prevents us from remaining in business we will assure our customers prompt access to their funds and securities.
As with any matters of this importance, we are continually reviewing and evaluating our business contingency plans to implement improvements, and as such, the plan and this notice are subject to modifications. This notice in its most current form will be posted on our web site, www.planbii.com.
Plan B Investments, Inc.
PO Box 2636, Pasadena, CA 91102-2636 Toll Free: 1-888-511-4611
Customer Identification Program Notice
Commitment to Your Private Information
Plan B Investments, Inc. (“we”) has a policy of protecting the confidentiality and security of information we collect about our clients. We do not, and will not, share non-public personal information (“Information”) about you with outside third parties without your consent, except for the specific purposes described below. This notice has been provided to you to describe the Information we may gather and the situations under which we may need to share it.
Why We Collect and How We Use Information
We limit the collection and use of Information within our firm to only those individuals associated or employed with us that must have Information to provide financial services to you. Such services include but are not limited to maintaining your accounts, processing transaction requests, and providing the advisory services described in our Form ADV and our ADV Brochure.
How We Gather Information
Most of the Information we gather comes directly from you when you provide us with information on or from any of the following sources:
- Applications or forms (i.e. name, address, social security number, birth date, assets, income, financial history)
- Transactional activity in your account (i.e. trading history, account balances)
- Information services and consumer reporting sources (i.e. to verify your identity or to assess your credit history)
- Other sources with your consent (i.e. your insurance professional, attorney or accountant)
How We Protect Information
Sharing Information with Other Companies Permitted Under Law
We do not disclose Information obtained in the course of our practice except as required or permitted under law. Permitted disclosures include, for instance, providing Information to unrelated third parties who need to know such Information in order to assist us with providing services to you. Unrelated third parties may include broker/dealers, mutual fund companies, insurance companies, and the custodian with which your assets are held. In such situations, we stress the confidential nature of Information being shared.
If you have any questions about our privacy policies or concerns about the information we collect please contact me at your convenience at (888) 511-4611 or mpo∂planbii.com. Thank you for your continued trust and confidence in us.