Stonegate Capital Markets, Inc. Business Continuity Plan Disclosure

– Updated February 2023

Stonegate Capital Markets, Inc. (Stonegate) 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 please call our office located at 500 Crescent Ct. #370, Dallas TX 75201 at (214) 987-4121. If you cannot access us through either of those means, you should contact us via email at for instructions to enable us to assist you.

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 our institutional customers, employees, and regulators; alternate physical location of employees; critical, bank and escrow account impact; regulatory reporting; and assuring our customers prompt access to documents and other required information, as well as access to Stonegate’s Principals and Registered Representatives 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 4 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 a 24 hour period. In either situation, we plan to continue in business, transfer operations to another facility if necessary, and notify you through email or another emergency telephone number.

For more information – If you have questions about our business continuity planning, you can contact us at (214) 987-4121.