Our Business Continuity PlanWe plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our clients to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our clients prompt access to their transaction information if we are unable to continue our business.
Augeo Advisors, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us – If after a significant business disruption you cannot contact us as you usually do at our main office, you should call our alternative numbers. Ed can be reached at 310-279-6322. Lars can be reached at 310-500-8861.
Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 48 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 48 hours.
For more information – If you have questions about our business continuity planning, you can contact us at 310-443-4141.
Augeo Advisors, LLC does not sell your personal information.
Augeo Advisors, LLC may use third party service providers for its internal purposes. Any third party service providers that Augeo Advisors, LLC may use will be bound by obligations of confidentiality not to disclose the information provided by Augeo Advisors, LLC about its clients and may not use this information for any purpose other than performing the particular service.
We use the e-mail address you provide to us to send information and other important administrative information to you.
Under certain circumstances, we may be required by law to disclose your personal information. Augeo Advisors, LLC may also disclose personal information to protect its legal rights or to enforce our Client Agreement. We may disclose certain Client Information to credit bureaus and similar organizations, and otherwise when permitted by law. For example, this may include:
- A disclosure in connection with a subpoena or similar legal process;
- A fraud investigation;
- An audit or examination.
Information SecurityWe are committed to preventing others from authorizing access to your client information, and we maintain procedures and technology designed for this purpose. We take several steps to protect the client information we have about you, including the following:
- We maintain physical, electronic and procedural safeguards to protect your information;
- We restrict access to information about you to those employees who need to know that information to provide you with the best possible products and services;
- We require outside companies and independent contractors to whom we provide client information for marketing, servicing or processing purposes to enter into a confidentiality agreement that restricts the use of such information to be used for specific purposes as intended, and prohibits the independent use of such information;
- We update and test our technology on a regular basis in order to improve the protection of client information;
- We have internal procedures that limit access to client information to only those members who are considered "authorized" personnel. If you have any questions about your personal or account information or about Augeo Advisors, LLC privacy policies and practices, please feel free to contact us at 310-443-4131.
FINRA Public Disclosure InformationFINRA Conduct Rule 2280, requires the following information be provided to you: (1) The FINRA Regulation, Inc. Public Disclosure Program hotline number is (800) 289-9999; (2) The FINRA Website address is, www.FINRA.org, and (3) The FINRA has a brochure available describing the public disclosure program.
SIPC DisclosureAugeo Advisors, LLC is a member of the Securities Investor Protection ("SIPC"), which provides account protection for the net equity of a client's funds and securities positions. SIPC provides $500,000 of primary net equity protection, including $100,000 for claims for cash ("SIPC Coverage"). Visit www.sipc.org for more information about SIPC Coverage. Account protection applies when a SIPC member firm fails financially and is unable to meet its obligations to its securities clients, but does not apply to losses from the rise or fall in the market value of investments or to SIPC ineligible assets such as futures, foreign exchange transactions, or any investment contracts that are not registered as securities.