G & W EQUITY SALES, INC.
Business Continuity Plan (BCP)
Effective September 10, 2004
Revised Effective February 27, 2008
The Financial Industry Regulatory Authority, Inc. (FINRA) has adopted rules requiring member
firms such as G & W Equity Sales, Inc. to implement plans for the continuation of
business in the event of a significant business disruption (SBD). A SBD refers to local or
regional events such as natural disasters, fires, and power outages, acts of malice or
terrorism, and technical infrastructure disruptions.
In accordance with FINRA’s rules, G & W Equity Sales, Inc. has developed and implemented a
Business Continuity Plan (BCP). Among other steps, we have created secondary business
locations as back-ups to our normal business location and have arranged for back-up
electronic storage of certain firm records. We have also arranged for alternative communication
resources for both our internal associates and our external customers and vendor partners.
The purpose of our firm’s BCP is to ensure that we are able to continue our business activities
and continue serving our customers with the least possible impact in the event of any of the
disruptive events described above or other unforeseen circumstances.
Upon request, we will provide additional information about G & W Equity Sales, Inc.’s BCP. Please
contact us at 1-800-347-5737 if you have any questions. A copy of our BCP is posted on our affiliated
company’s (Gardner & White) website, www.gardnerwhite.com.