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Important Information You Need to Know About Doing Business With Bridge Capital Associates, Inc. (“BCA”)

Client & Investor Identification Program Notice | BCA Business Continuity Summary Statement | BCA Privacy Policy

 

Client & Investor Identification Program Notice

To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person and entity with whom we effect securities transactions.
This Notice answers some questions about our Client/Investor Identification Program.

What types of information will I need to provide?

When you commence a business relationship with BCA, BCA is required to collect information such as the following from you:

 
  • Your name and Date of birth
 
  • Address
 
  • Identification number
 
  • U.S. Citizen: taxpayer identification number (social security number or employer identification number)
 
  • Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you. You may also need to show your driver’s license, passport, or other identifying documents.
    A corporation, partnership, trust or other legal entity may need to provide other information, including but not limited to; its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.
 
  • U.S. Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

What happens if I don’t provide the information requested or my personal and/or my company’s identity can’t be verified?

Your firm may not be able to conduct business with BCA. If BCA or its associated persons have already commenced a securities business with you, they may have to sever the relationship.

We thank you for your patience and hope that you will support the financial industry’s efforts to deny terrorists and money launderers access to America’s financial system.

www.finra.org

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BRIDGE CAPITAL ASSOCIATES, INC. BUSINESS CONTINUITY SUMMARY STATEMENT

Bridge Capital Associates, Inc. has developed a Business Continuity Plan regarding 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 carrie@bridgecapitalassociates.com, ginny@bridgecapitalassociates.com or (770) 923-8371, you should call our alternative number at (678) 640-2120 or go to our web site at www.bridgecapitalassociates.com. If you cannot access us through the web site, please email dubyaski@bellsouth.net.

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 clients and investors 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 clients prompt access to their investments if we are unable to continue our business.

We back up important records through a 3rd party data archive provider. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our vendor that its objective is to restore its own operations and be able to restore all existing data in under 1 business day. Your communications with us may be disrupted until such time as our data is restored.

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 four (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 four (4) business hours. In either situation, we plan to continue in business and notify you through our web site www.bridgecapitalassociates.com or our customer emergency number, 678-448-3232 how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our client’s prompt access to their investments.

For more information – If you have questions about our business continuity planning, you can contact us at (770) 923-8371 or ginny@bridgecapitalassociates.com.

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Bridge Capital Associates, Inc. Privacy Policy

Bridge Capital Associates, Inc. collects nonpublic personal information about you and your firm from the following sources:

  • Information we receive from you on applications or other forms;
  • Information about your transactions with us or others; and
  • Information we may receive from a consumer reporting agency.

We do not disclose any nonpublic personal information about you or your company to anyone, except as permitted by law.
If you decide to cease conducting business with us for any reason, we will adhere to the privacy policies and practices as described in this notice.

Bridge Capital Associates, Inc. restricts access to your personal and business information to those employees and associates
who need to know that information to provide products or services to you. Bridge Capital Associates, Inc. maintains physical, electronic, and procedural safeguards to guard your nonpublic personal and business information.

We have chosen not to disclose any of the information we collect, as described above, to companies that perform marketing services on our behalf or to other financial institutions with whom we have joint marketing agreements, even though such disclosure is permissible by law.

This policy will remain in effect until further notice.

Carrie Wisniewski
President

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Bridge Capital Associates, Inc., Member FINRA/SIPC