Business Continuity

Protecting your assets and personal information are a critical part of our business.


FINRA Rule 4370 requires member firms to create and maintain a Business Continuity Plan (BCP) identifying procedures relating to any significant business disruption to the member’s business that are reasonably designed to enable the member to meet its existing obligations to its customers. In addition, BCP procedures must address existing relationships with clearing firms, regulators and other vendors that are critical to the operation of its business.

Review the summary of Avantax Wealth Management's business continuity plan »


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