Business Continuity Plan


          Goto Capital Markets, Inc. has developed a business continuity plan detailing how we will respond to events that significantly disrupt our business, including fires, power and/or network outages, natural disasters and terrorist attacks.  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 (212) 634-9938, you should call our alternative numbers at (212) 634-7481/7483 or go to our web site at  If you cannot access us through either of those means, you should contact our clearing firm, Pershing LLC, at 800-443-4342 or at for instructions on how you may execute securities transactions, remit payment for securities transactions, or request funds or securities.


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 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 how we will assure our customers prompt access to their funds and securities if we are unable to continue our business.


          Our clearing firm, Pershing LLC, backs up 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 its own operations and be able to complete existing transactions and accept new transactions and payments within four hours.  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 when needed 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 within one business day.  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 listed above on 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.


For more information – If you have questions about our business continuity planning, you can contact Patrick MacMurray at (212) 634-7483 or




          We are a member of the Securities Investor Protection Corporation ("SIPC"), which provides account protection for the net equity of a customer's funds and securities positions.  Visit for more information about SIPC Coverage.




          We are licensed by the Financial Industry Regulatory Authority (“FINRA”).  The Board of Governors of FINRA has adopted a public disclosure policy that provides certain types of information on FINRA Member Firms and their Associated Persons. FNRA’s Broker Check Program gives you access to information that may help you determine whether to conduct business with a FINRA Member Firm or with its Associated Persons.


          Broker Check may be accessed via the FINRA web site at


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