Think Alpha Securities LLC Business Continuity Plan

Customer Disclosure Statement
Last Updated 2-27-2023

Think Alpha Securities LLC plans to quickly recover and resume business operations after a significant business disruption (SBD) 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 Firm’s business continuity plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.

The BCP 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; and regulatory reporting. Given that the Firm acts as an introducing broker, the Firm does not hold customer funds or securities.

Significant Business Disruptions: The Firm’s plan considers two kinds of Significant Business Disruptions, internal and external. Internal SBDs affect only the Firm’s ability to communicate and conduct business, such as a fire or loss of electrical power in the office or building. External SBDs prevent the operation of the securities markets or several firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services. Internal SBDs: In the event of a disruption in the Firm’s business operations due to an internal SBD, the Firm will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location. If personnel or operations must be moved to an alternate location, the Firm anticipates that it will resume regular operations within 24 hours.

External SBDs: In the event of a disruption in the Firm’s business operations due to an external SBD, the Firm will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the affected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business.

The Firm will attempt to resume business within 24-48 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances. In all cases, the Firm will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.

If the significant business disruption is so severe that it prevents us from remaining in business, we will ensure our customers prompt access to their records.

Communications: In the event that you are unable to reach the Firm at our main number, please proceed as follows: Contact the Firm at the following alternate telephone number: Eugene Choe, Chief Compliance Officer at Think Alpha Securities LLC, 856.359.3331.

Contact FINRA’s New Jersey District office at the following telephone number for more information on the Firm’s status and additional instructions: 732-596-2000.

Contact information: Any questions regarding the Firm’s Business Continuity Plans should be addressed to Larry Birch, Principal at Think Alpha Securities LLC, 856.389.3330.

Tradingalpha.com is a website owned and operated by Think Alpha Securities LLC (doing business as “Tradingalpha”). Brokerage services are provided through Think Alpha Securities LLC, Member FINRA and SIPC. 116 Commons Way, Princeton, NJ 08540. Not insured by the Federal Deposit Insurance Corporation (FDIC). This material is sales and trading commentary and does not constitute investment research. This material is provided to you by Think Alpha Securities LLC (“TAS”) solely for informational purposes, is intended for your use only and does not constitute an offer or commitment, a solicitation of an offer or comment (except as noted for CFTC purposes), or any advice or recommendation, to enter into or conclude any transaction (whether on the indicative terms shown or otherwise), or to provide investment services in any state or country where such an offer or solicitation or provision would be illegal. TAS is not acting in any fiduciary capacity and it will not treat recipients as its customers by virtue of their receiving this material. The provision of the services referred to in this material is subject to relevant local regulation and practice, and not all the services described may be available in your particular jurisdiction. Brokerage services are provided through Think Alpha Securities LLC, Member FINRA and SIPC.  116 Commons Way, Princeton, NJ 08540. Not insured by the Federal Deposit Insurance Corporation (FDIC).
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