Business Continuity Plan

Sentinel Group has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are 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 (781) 914-1400, you should call our alternative number (888) 762-6088, or go to our web site at

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
  • Assuring our customers prompt access to their funds and securities if we are unable to continue our business

Our clearing firm 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 of a local non severe business disruption. Your orders and requests for funds and securities could be delayed during this period. Your account transactions may be delayed during this time.

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 24 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 48 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, (888) 762-6088. 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.

Important Disclaimer

Sentinel Group will adhere to the procedures described herein and in its Business Continuity Plan to the extent commercially reasonable under prevailing circumstances. As there are various events that could cause a business disruption with their impact varying greatly in size scope, severity, duration and geographical locations. Also, significant business disruptions may result in varying degrees of harm to human life and regional and national infrastructure that could affect the firm’s recovery in significant ways.

Sentinel Group in its sole discretion, reserves the right to flexibly respond to any disruption in a situation – specific and prudent manner. Nothing in this disclosure document is intended to provide a guarantee or warranty regarding the actions or performance of the firm, its computer systems, or its personnel in the event of a significant business disruption.

For more information:

Call (781) 914-1200, or write to us at: 100 Quannapowitt Parkway, Suite 300, Wakefield, MA 01880

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