Legal Disclosure

Westrock Capital Managment, Inc.(WCM) does not warrant the accuracy of the materials provided herein, either expressly or impliedly, for any particular purpose and expressly disclaims any warranties of merchantability or fitness for a particular purpose. WCM will not be responsible for any loss or damage that could result from interception by third parties of any information made available to you via this site. Neither WCM, nor any of its affiliates, directors, officers or employees, nor any third party vendor will be liable or have any responsibility of any kind for any loss or damage that you incur in the event of any failure or interruption of this site, or resulting from the act or omission of any other party involved in making this site or the data contained therein available to you, or from any other cause relating to your access to, inability to access, or use of the site or these materials, whether or not the circumstances giving rise to such cause may have been within the control of WCM or of any vendor providing software or services support. In no event will WCM, its affiliates or any such parties be liable to you for any direct, special, indirect, consequential, incidental damages or any other damages of any kind even if WCM or any other party have been advised of the possibility thereof.



Business Continuity Plan

Westrock Capital Management, Inc., (“WCM”) committed to safeguarding the interests of our clients in the event of an emergency or significant business disruption This Business Continuity Plan Disclosure summarizes the firm’s effort to mitigate risks inherent with unforeseen business interruptions. WCM’s comprehensive business continuity strategy is designed to enable us to meet our existing obligations to our clients in the event of an emergency or significant business disruption. Our plan is intended to comply with the rules promulgated by the Financial Industry Regulatory Authority (“FINRA”).

WCM maintains one branch office in Chestnut Ridge, NY. In addition, WCM has made arrangements to utilize an alternative location situated approximately ten miles from its Chestnut Ridge office. WCM can provide its clients with trade/order execution services as well as sales, research distribution and assistance with clearing and settlement issues.

A site outage at WCM would not impact your ability to have access to your available funds, as WCM’s continuity plan is designed to ensure sustained service. However, your ability to trade your available funds may be impacted by market events outside of WCM’s control, such as when the market was closed following the September 11 tragedy.

Redundancy of Mission Critical Information Technology Systems
Each of the alternative location has sufficient technology and information to provide the redundancy required to protect the Firm’s books and records, balance sheet and capital, and provide business continuity and client protection. The recovery capability for certain of the Firm’s mission critical processing capabilities is also achieved through its clearing firm, Axos Clearing.  For more information on our clearing firm’s Business Continuity Plan please visit them at:


Written Copy/Emergency Contact Info

Westrock Capital Management, Inc. will forward a copy of our Business Continuity - Disaster Recovery Plan to our clients upon written request.

Please forward your request to:

Attention: Compliance Department                                               Westrock Capital Management, Inc.
754 Chestnut Ridge Road
Chestnut Ridge, NY 10977

Should our customers require assistance during an emergency, please contact:

Robin Bhattacharya          

Tel:  845.405.1170

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