Business Continuity Plan Summary
Pioneer Capital Markets, Inc. maintains a Business Continuity Plan (BCP) designed to comply with FINRA Rule 4370. Our primary objectives during a significant business disruption (SBD) are:
- Continue operations where possible
- Protect employee health and safety
- Fulfill legal and regulatory obligations
If we cannot continue business, we will assist customers in accessing funds and securities through our clearing firm, RBC Clearing & Custody.
Key elements of our BCP include:
- Emergency contacts: Peter Brandel (CEO) and Gary Galarpe (CCO/FINOP)
- Alternate work locations and remote work procedures
- Data backup and recovery protocols
- Communication plans for customers, employees, and regulators
- Cybersecurity measures for remote operations
For questions or a copy of our full BCP, contact our Compliance Department at 518.944.1829 or galarpeg@pioneerny.com.
Municipal Securities Disclosure
Pioneer Capital Markets, Inc. (“PCMI”) is a registered broker-dealer and a member of FINRA and the Municipal Securities Rulemaking Board (MSRB). PCMI engages exclusively in proprietary trading of municipal and U.S. Treasury securities and does not provide advisory services to municipal entities or obligated persons. PCMI is not acting as a Municipal Advisor and does not have a fiduciary duty to municipal entities under federal securities laws.
For more information about protections available under MSRB rules and how to file a complaint, please review the MSRB Investor Brochure.
Regulatory Disclosures
Pioneer Capital Markets, Inc. is a registered broker-dealer, Member FINRA and MSRB.
Registered with the U.S. Securities and Exchange Commission (SEC).
We engage exclusively in proprietary trading and do not offer services to retail customers.
Check the background of this firm on FINRA’s BrokerCheck.