Business Continuity Plan Disclosure

People's Securities has developed a Business Continuity Plan outlining how we will respond to events that significantly disrupt our business. Since the timing and impact of natural disasters and business disruptions is unpredictable, we will be flexible in responding to actual events as they occur. With that in mind, we are providing you with this general information on our business continuity plan.

Contacting Us

If, after a significant business disruption, you cannot contact us as you usually do at (800) 772-4400 or (800) 392-3009, you should go to the web site at This is how we will provide you with updates on the severity of the business disruption and the progress of our recovery efforts.

Our Business Continuity Plan

We plan to quickly recover and resume business operations after a significant business disruption. We will 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 identifies mission critical systems and addresses: data back-up and recovery; 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. Our parent company, People's United Bank, backs up our important records in a geographically separate area. 

Varying Disruptions

Significant business disruptions can vary in their scope, such as only our firm's operations, or the building housing our headquarters, or the City of Bridgeport where we are located, or perhaps even 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 the building housing our firm, we will transfer our operations to an alternate site and expect to recover and resume business within one business day. 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 between one and two business days. In either situation, we plan to continue in business, and will inform you, through 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.

Every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption. Your orders and requests for funds and securities could be delayed during a significant business disruption.

For More Information

If you have questions about our business continuity planning, you can contact us at (800) 772-4400 or (800) 392-3009.

Related Information


Investment and Insurance Products:

  • Not Insured by FDIC or any Federal Government Agency
  • Not a Deposit of or Guaranteed by a Bank or any Bank Affiliate
  • May Lose Value

Investment and insurance products are offered through People’s Securities, Inc., a Broker/Dealer, member of FINRA and SIPC, an insurance agency and a registered investment advisor. People’s Securities, Inc. is a subsidiary of People’s United Bank, N.A. Investment products may involve risk, including possible loss of principal.

Business Continuity Plan | Commission & Fee Schedule | Margin Disclosure | Financial Statement | Cost Sharing Arrangements | Order Routing Disclosure | Day Trading Disclosure | BrokerCheck


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