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Business continuity plan

Client Disclosure

Securian Financial Services, Inc.

CRI Securities, LLC 

Disclosure required by Financial Industry Regulatory Authority (FINRA) Rule 4370 

 

To address interruptions to our normal course of business, Securian Financial Services, Inc. and CRI Securities, LLC, registered broker-dealers affiliated with Minnesota Life, maintain a business continuity plan that includes a geographically dispersed data center and processing facility. The plan is reviewed annually and updated as necessary. 

The plan outlines the actions to be taken by Securian/CRI in the event of a building, city or regional incident causing a significant business disruption. The actions to be taken include: 

  • Relocating key business, technical and processing associates to an alternate location that is maintained and business-ready on a 24/7 basis
  • Creating a redundant environment at the recovery site that routinely tests business applications
  • Data center recovery and storage of electronic backup and paper documents to meet our recovery needs

Client support

Access to funds and securities in the event of a significant business disruption

  • If telephone service is available, the relocated personnel will be available to receive customer orders and instructions for accounts on the Pershing platform.
  • For accounts held direct at mutual fund, insurance and investment management companies, customers will be instructed how to contact the company with questions and instructions.
  • If web service is available, customers will be directed to this website or the CRI Securities website where instructions will be posted on how to access their accounts on the Pershing platform. 

We review, update and test our plan on a regular basis to mitigate all reasonable risk. Plan updates may require changes to this disclosure. Such changes will be promptly posted on our website and be available upon written request. 

In the event we need to execute our business continuity plan due to business disruption or emergency, you may call the following telephone numbers for information: