VCA Securities, LP and View Capital RIA, LP are subsidiaries of View Capital Advisors, LLC. Securities are offered through VCA Securities, LP. Advisory services are offered through View Capital RIA, LP. Securities are held in custody at J.P. Morgan Clearing Corp.
State Securities Registration
VCA Securities, LP is registered for securities brokerage business with residents of: AL, AZ, CA, CT, FL, HI, IL, KS, KY, LA, MD, MA, MS, MO, MT, NE, NV, NJ, NY, NC, OH, OK, PA, SD, TX, UT, VA, and WA. Likewise, fee-based advisory services through View Capital RIA, LP are available to the residents of: TX.
If you are not a resident of one of the above listed states then we are not currently registered in your state, therefore, we will not be able to share investment and related services information with you at this time. Should you desire information on ways in which our company may help you with your financial service interests, please feel free to contact us with your details. We may be able to refer you to a representative in your area, or we may become registered in your state, at which time we would be able to further discuss how our services may meet your needs.
View Capital Business Continuity Plan Disclosure
VCA Securities, LP and View Capital RIA, LP (View Capital) have recently developed a Business Continuity Plan so that all members of the firm will immediately know what actions to take in the unlikely event of a significant business interruption. This plan will assist us in determining what to do if we were to suffer a problem such as a fire in the building, if our telephones were cut off, if there is a region-wide disaster, or if our clearing firm, J.P. Morgan Clearing Corp., suffers a significant problem to its computer or telecommunications systems. Our primary goals, after making certain that our employees are safe, will be to resume order taking capabilities as quickly as possible and to make certain that all of our clients have access to their accounts.
The timing and impact of disasters and disruptions is unpredictable, therefore, we will have to be flexible in responding to the actual events as they occur. To that end, this notice is being sent to you so that you will know how to contact us in the case of a disaster that affects the manner in which you normally communicate with us, and to inform you of what actions you may take if communication to View Capital becomes impossible.
If View Capital’s phone lines are not working properly, please try us through our alternative emergency numbers, (214) 683-7758 and (972) 814-2145. Since numbers are cellular based, if only land lines are affected you should be able to reach us. If those numbers fail, go to our website at www.view-cap.com and either contact us or search for further instructions on how to contact us. If you cannot access us through either of those means, you should contact our clearing firm, J.P. Morgan Clearing Corp. directly at (212)-552-1919 for liquidating orders, check and wire requests, and ACAT transfers only. If you try to reach us by visiting our location, please understand that if our building has suffered damage for any reason, we may move our operations to an alternate location.
View Capital’s intent is to quickly recover and resume business operations after a significant business disruption. We plan to safeguard our employees and property, protect the firm’s books and records, make a quick financial and operational assessment, and allow you to transact business as efficiently as possible given the circumstances.
While View Capital has the regulatory obligation to retain copies of its books and records, J.P. Morgan Clearing Corp., for its own purposes, maintains copies of many transactional records for business introduced to it by View Capital.
J.P. Morgan Clearing Corp. maintains a backup trading floor and operations center located approximately 30 miles from their headquarters. In the event that they are unable to access one of their primary facilities, it may be necessary to relocate certain personnel to their backup site. The backup facility is a “hot site.” In other words, the site is fully operational at all times. It is equipped with workstations that have redundant computer network connectivity, telephones, printers, fax machines, market data feeds and all the other specialty equipment necessary for trading and operations. The backup trading positions are periodically checked to ensure that they are equipped with updated software and trading applications. The functionality of the backup facility is routinely tested by sales, trading and operations personnel.
Our plan addresses a number of areas: data back up and recovery; mission critical systems; financial and operational assessments; alternative communications with you, employees, and regulators; an alternate physical location for employees and operations; clearing firm and bank impact; regulatory reporting; and making certain that you have access to your funds and securities in the unlikely event we are unable to resume our business operations quickly.
A significant business disruption can vary in scope from just our firm, the building housing our firm, the Dallas business district, the cities of Dallas and Fort Worth, or the entire region. If a disruption occurs only to View Capital or to the building housing us, we expect to resume the ability to enter trades within 15 minutes and, if it is necessary to move our operations to a local site, we should be re-located within one hour. If the disaster is over an entire region and we are unable to establish alternative communications or move operations to our alternate location, it may become necessary to temporarily transfer our business to J.P. Morgan Clearing Corp. in order for you to conduct your normal business. If our website remains operational, we will post and continually update a notification explaining our situation and of any additional actions we have taken that would allow you to communicate with us. Finally, if the business disruption is so severe that it prevents us from remaining in business, View Capital will ensure that you have prompt access to your funds and securities.
If you have any questions regarding our business continuity planning, do not hesitate to contact us at (214) 855-2550.
Order Routing Requirement, SEC Rule 11Ac1-6
View Capital RIA, LP does not require its customers to maintain brokerage accounts with VCA Securities, LP, but the majority of View Capital RIA, LP clients do maintain brokerage accounts with VCA Securities, LP. VCA Securities, LP maintains a clearing relationship by contract with J.P. Morgan Clearing Corp. Neither VCA Securities, LP nor View Capital RIA, LP receives any payment for order flow from any executing broker. Furthermore, neither VCA Securities, LP nor View Capital RIA, LP receive any benefit of any kind from directed order flow or soft dollar payments of any kind. Statistical information for VCA Securities, LP’s order execution can be reviewed by clicking on the following link: Order Routing Practices.
Neither VCA Securities, LP nor View Capital RIA, LP (View Capital) represent, warrant, or guarantee that the information and data provided herein (the “Reports”) are accurate. View Capital disclaims liability for any direct, indirect, punitive, special, consequential, or incidental damages related to the Reports or the use of the Reports. The information provided in the Reports may be impacted by market data systems outages or errors, both internal and external, and it is dependent upon the integrity and accuracy of data provided by outside sources. Certain assumptions have been made in preparing the Reports, and changes to the assumptions may have a material impact on results. The Reports do not endorse or recommend any particular security or market participant.
More details regarding SEC Rule 11Ac1-6 and the SEC interpretation of the rule can be obtained directly from the SEC and FINRA. Should you have any questions regarding this rule, you may also contact a Principal of our firm at:
VCA Securities, LP or View Capital RIA, LP
2000 McKinney Ave., Suite 600
Dallas, TX 75201