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Our Business Continuity Plan

March 18, 2022

Recently, we’ve heard from some of you asking what happens if there’s an emergency event that occurs here on US land. We wanted to quickly reach out to let you know that we, as well as our broker dealer LPL Financial, have plans in place for various preparedness scenarios. At Solis Wealth, we have our own business continuity plan that we test and update annually. This includes automated email messages and posts to social media with updates. If we’re unable to obtain internet or phone access immediately, you also have access to the LPL Client Line phone system, and they can assist you with accessing your funds or placing trades. COVID provided us with a unique opportunity to test these systems as we were forced to adapt our business to be able to work remotely. Our data and files are stored securely on the cloud using an encrypted service that can be accessed anywhere there is internet service.

In addition to our own back up plans, LPL Financial has extensive business continuity practices in place. Generally speaking, LPL Financial has headquarters in three principal locations: Boston, Fort Mill, and San Diego. Fort Mill and San Diego are the primary locations for the “mission-critical” departments which includes operations, trading, and service center. LPL has documented and tested plans in place to provide a fail-over between the two sites.  They have stated that an outage should not impact our customers’ ability to access their available funds, as LPL Financial business contingency plans are designed to ensure sustained service. Of course, your ability to trade securities may be impacted by market events outside the control of LPL Financial, such as when the market was closed following the September 11 tragedy.

All that being said, please know that we are always looking for ways to ensure your data remains safe and secure, and that we’re able to help guide you through any of life’s challenges that may arise, whether macro geopolitical events, or life changes that are personal to you and your family. We are here for you. Please feel free to reach out with any questions or concerns, or to discuss any of this in more detail.

Most Sincerely,

Greg R. Solis, AIF®
President and CEO

Bob Medler, CRPC®, CMFC®, AIF®
Wealth Advisor / Investment Analyst

Tiffany Valentine, CFP®
Vice President and COO


78-075 Main Street
Suite 204
La Quinta, CA 92253
Office: (760) 771-3339
Fax: (760) 771-3181

CA Insurance License #0795867, 0C05523 & 0D73175.

The Wealth Advisors of Solis Wealth Management are also Registered Representatives with and securities and advisory services are offered through LPL Financial, a Registered Investment Advisor. Member FINRA/SIPC.