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Brokerage business continuity

AXA Advisors, along with its clearing firm LPL Financial, maintain separate and distinct business continuity plans for supporting the firm’s brokerage operations center.  Both plans include redundant data centers and alternative processing facilities, in order to address possible interruptions to the firm’s normal course of business.  As required, these plans are reviewed and updated on an annual basis.  The details within these plans identify the required actions needed in the event of a building or city-wide incident, including the movement of technology and personnel to preassigned alternate sites. 

AXA Advisors' alternative sites are tested periodically to ensure that the relocation of technology and personnel can be performed within 24 hours.  In the event that AXA Advisors or LPL Financial needs to execute its business continuity plans, the firm’s contact number will remain the same.  The AXA Advisors Brokerage Service Center can be reached at (866) 487-7484.  Business continuity plans are available upon written request.

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