Business Continuity Plan Summary Disclosure

Bundy Group Securities, LLC has developed a Business Continuity Plan for 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. As required by FINRA, we are providing you with this summary information.


Should a significant business disruption occur, please contact our Chief Executive Officer, William “Clint” Bundy, Jr.
Bundy Group
2700 Coltsgate Road
Suite 201
Charlotte, NC 28211


We plan to quickly recover and resume business operations after a significant business disruption and to 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 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 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
  • regulatory reporting
  • prompt customer access to funds and securities


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 our CEO’s temporary home office location. 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 as quickly as possible, posting contact information on our web site.


If you have questions about our business continuity planning and/or would like to request a copy of our complete Business Continuity Plan, please contact the above noted principal.
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