DISCLOSURES

January 2016

Our Business Continuity Plan

 

1st BridgeHouse Securities 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.

 

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 back up 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 and regulatory reporting. Our business partners back up important records in a geographically separate area

 

Contacting us

If after a significant business disruption you cannot contact us at (786) 375-5644 or info@1stBridgeHouse.com Check out this website www.1stBridgeHouse.com  for any updates or notifications how to contact us.

 

If you have any questions regarding our Business Continuity Plan or if you would like a copy of the complete plan document, please email Info@1stbridgehouse.com

 

Anti-Money Laundering Notification

 

Under the USA PATRIOT Act and other regulations, 1st BridgeHouse Securities has established a compliance program, which includes policies and procedures to detect and report suspicious transactions to the government, as well as ensure compliance with applicable laws. 1st BridgeHouse Securities implements specialized employee training programs, designated an anti-money laundering compliance officer and conducts independent testing of the effectiveness of the program. An anti-money laundering officer has been appointed to direct the program. Our employees are trained in anti-money laundering practices and procedures and the details of the firm’s policies. The regulations have also imposed requirements on client information and verification of information. 1st BridgeHouse Securities is required to verify the identity of clients with whom we do business, determine the source of funds in a client’s account and obtain the information about a client’s financial status. As part of our compliance with these  regulations and in support of the fight against money laundering around the world, we may ask clients for additional information and documentation about certain accounts and transactions  to be used to verify client identity. If we cannot verify your identity then we may be forced to either restrict or close your account or we may opt to not open an account for you at all.

 

Email Disclosure

 

1st BridgeHouse reserves the right to monitor all email communications through their networks. All emails sent, from, or within the 1st BridgeHouse corporate email system may be retained, monitored and/or reviewed. Questions regarding this policy may be sent to info@1stbridgehouse.com  

 

State Securities Registrations

 

1st BridgeHouse Securities, LLC is currently registered for securities brokerage business with residents of: Colorado, Connecticut, Florida, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Virginia and Wisconsin.

 

If you are not a resident of one of the above states, we will not be able to share investment and related services information with you at this time. Should you desire information on ways in which 1st BridgeHouse Securities, LLC may help you with your financial services interests, please feel free to contact us with your details. We may be able to refer you to a representative or company in your area or we may become registered in your state, at which time we would be able to discuss how our services may meet your needs.

 

FINRA Member Firm

 

1st BridgeHouse Securities, LLC is a member of the Financial Industry Regulatory Authority (FINRA). For more information about FINRA please see www.FINRA.org.

 

SIPC Member Firm

 

1st BridgeHouse Securities, LLC is a member of the Securities Investor Protection Corporation (SIPC). For more information about SIPC visit its website.

10301 SW 144th St, Miami, FL. 33176

(786) 375-5644 | Info@1stBridgeHouse.com