• Serving clients in 50 states, with $2.6 billion AUM and 600 employees worldwide.
  • Access to global resources with the personalized service of a boutique agency.
  • Committed to exceeding client expectations since 1978.
  • A comprehensive suite of innovative Investment Banking solutions.

Business Continuity Plan

LBMZ Securities is a broker-dealer and member of FINRA, NASDAQ, NYSE Arca and SIPC. As a customer of LBMZ, your assets are maintained with our clearing firms J.P. Morgan and Interactive Brokers. FINRA Rule 4370 requires each member firm to create and maintain a business continuity plan. In accordance with this rule, LBMZ has developed a plan to ensure that business continues to run uninterrupted during business emergencies.

The plan is designed to address key areas of concern including but not limited to the following:

  • Books and records recovery;
  • All mission critical systems;
  • Financial and operational assessments;
  • Alternate means of communication between LBMZ and its customers;
  • Alternate means of communication between LBMZ and its employees;
  • Alternate physical locations of employees;
  • Critical business constituent, bank and counter-party impact;
  • Regulatory reporting;
  • Communications with regulators, and;
  • How LBMZ will ensure that customers have access to their funds and securities in the event LBMZ determines it is unable to continue its business.

Events creating a disruption of business may vary in nature. They could affect only LBMZ, affect the building where LBMZ is located, affect the entire business district where LBMZ is located, result in a citywide disruption, or result in a regional disruption. LBMZ fully intends to continue to conduct a securities business during these periods of business disruption ranging from disruptions that only affect LBMZ to disruptions that have regional impact.

To address these disruptions LBMZ has arranged an alternate physical location as well as key technology infra-structure in an area that does not share any power grids with the current location and will afford LBMZ the opportunity to relocate its key employees and critical information technology systems in order to provide services for its clients.

If we are operating out of our alternate physical location we will arrange for our regular phone numbers to automatically forward to our alternate site. If after a significant business disruption you cannot contact us as you usually do at our normal phone numbers or through email or our website located at www.lbmzsecurities.com you should contact the clearing firm(s) at which your assets are held: JP Morgan (212) 272-1000 or Interactive Brokers (312) 542-6901, who can assist you in providing access to your funds or securities and process other trade-related transactions for you. Please be advised that business continuity plans are subject to change and modification. LBMZ intends to update and test its business continuity plans as business conditions and technology change. All changes will be posted to LBMZ website located at www.lbmzsecurities.com. Should you have any questions concerning the business continuity plan please submit a written request for additional information to your representative or write us at:

    LBMZ Securities
    Attn. Compliance
    10 S. Riverside Plaza
    Suite 1600
    Chicago, IL 60606