Business Continuity Plan Summary

Parsonex Securities, Inc. and its affiliates are committed to providing timely service to our customers. We recognize the importance of preparing for various disaster scenarios that could affect our ability to provide service. Our firm’s policy is to respond to a Significant Business Disruption by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing our customers to transact business.

Parsonex Securities, Inc. has a business continuity plan (BCP) to allow Parsonex Securities to continue serving clients and provide them with access to their funds and securities in the event of a disaster. If the Parsonex Securities corporate office is damaged or otherwise inaccessible as a result of a disaster, Parsonex Securities associates affected by such event would work from alternate locations controlled by Parsonex Securities.

In the event of a significant business disruption, information about the status of your account(s) and access to your funds and securities can be obtained by contacting your financial professional or Parsonex Securities’ corporate office at 303.662.8700.

Please be aware that, while we have detailed plans in place, we cannot guarantee that we will be successful in achieving recovery in the times noted in our plan. For example, we may not be able to implement a plan during a disaster as quickly as we expect, or there may be disasters that we have been unable to anticipate and for which we have no plan. Additionally, if parts of our plan are dependent upon third parties, we will have no control over the success or failure of the third party to respond appropriately to the challenges posed at the time of the disaster. Our continuity plans are periodically updated and modified. Updated plan summaries will be made available at Parsonex Securities’ website or by submitting a written request.