Brokerage business continuity

Equitable Advisors LLC (Equitable Financial Advisors in MI & TN), along with its clearing firm, LPL Financial, maintain separate and distinct business continuity plans for supporting the firm’s brokerage operations center.  Both plans include redundant data centers and alternative processing facilities, in order to address possible interruptions to the firm’s normal course of business.  As required, these plans are reviewed and updated on an annual basis.  The details within these plans identify the required actions needed in the event of a building or city-wide incident, including the movement of technology and personnel to preassigned alternate sites.

Equitable Advisors' alternative sites are tested periodically to ensure that the relocation of technology and personnel can be performed within 24 hours.  In the event that Equitable Advisors or LPL Financial needs to execute its business continuity plans, the firm’s contact number will remain the same.  The Equitable Advisors brokerage service center can be reached at (866) 487-7484. Business continuity plans are available upon written request.

Equitable Advisors, LLC, member FINRA/SIPC (Equitable Financial Advisors in MI & TN), serves as the introducing broker/dealer and LPL Financial, member FINRA/SIPC, serves as the clearing broker/dealer for brokerage accounts. Equitable Advisors, LLC (Equitable Financial Advisors in MI & TN) serves as an investment advisor registered with the SEC, and LPL Financial serves as the principal sponsor, an investment advisor and the broker/dealer for the LPL Financial investment advisory programs offered through Equitable Advisors Financial Professionals. Equitable Advisors and its financial professionals are not affiliated with LPL Financial. Additional investment advisory programs are offered through third-party program sponsors that are not affiliated with Equitable Advisors and LPL Financial. Equitable Advisors serves as an investment advisor in referring clients to these programs, and the third party serves as the principal sponsor and an investment advisor. These programs may clear through or retain broker/dealers other than Equitable Advisors or LPL Financial and are not affiliated with either party.
GE-4861573.1 (08/2022) (Exp. 08/2024)