Business Continuity Plan

Business Continuity Statement for Customers

Gill Capital Partners has developed a Business Continuity Plan to address 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 303.296.6260, you should call our alternative number, 303.915.6433, or visit our web site at If you cannot access us through either of those means, you should contact our clearing firm, Hilltop Securities Inc., using the contact information listed below:


Hilltop Securities Inc. (HTS)

In the event that Gill Capital Partners experiences a significant business interruption, HTS may be contacted directly to process limited securities transactions, cash disbursements, and security transfers. Instructions to HTS must be made in writing and transmitted via facsimile or U.S. mail as follows: Hilltop Securities Inc., 1201 Elm Street, Suite 3500, Dallas, TX 75270, fax: 214.859.6095. You may also contact HTS by calling 800.678.3792.


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 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 addresses data backup 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 customers prompt access to their funds and securities if we are unable to continue our business. 

Our clearing firm, Hilltop Securities Inc., backs up some of our important records in a geographically separate area. 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 clearing firm that its objective is to restore operations and be able to complete existing transactions and accept new transactions and payments within regulatory standards. Your orders and requests for funds and securities could be delayed during this period.  


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, if needed, and expect to recover and resume business within 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 4 hours. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site or our customer emergency number, 303.915.6433, how to contact us.  If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities. 


For more information

If you have questions about our business continuity planning, you can contact us at 303.296.6260.