Business Continuity Planning

GVC CAPITAL BUSINESS CONTINUITY PLANNING

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 303-694-0862, please go to our web site at www.gvccap.com.

Our Business Continuity Plan – We 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 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 back up 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; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

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 an hour. 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 a few hours. In either situation, we plan to  continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site  [www.gvccap.com] or a telephone recording from our main line, [303-694-0862] how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, you can contact us at (303) 694-0862 or send inquiries to our main office:

5350 S. Roslyn St. Suite 400
Greenwood Village, CO 80111

GVC Capital LLC is a registered broker/dealer and municipal securities dealer with the SEC (www.sec.gov), FINRA
(www.finra.org), and MSRB (www.msrb.org).
An investor brochure regarding municipal securities and the protections that may be available to the investor as well as
how to file a complaint is available on the MSRB website.

Any other complaints, concerns, or questions may be directed to:
Kent Lund (303) 694-0862
GVC Capital LLC
5350 S. Roslyn St. Suite 400
Greenwood Village, CO 80111