Business Continuity Planning

Customer Summary

The Securities Group, LLC

The Securities Group, LLC 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 is 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 901-328-4814, mvincent@thesecuritiesgroup.com you should call our alternative number at 901-229-2971 or 615-400-4019 or go to our web site at www.thesecuritiesgroup.com.

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, and protecting the firm’s books and records. 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; bank and counter-party impact; and regulatory reporting.

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 approximately 2-4 weeks. 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 approximately 2-4 weeks. In either situation, we plan to continue in business and notify you through our web site, www.thesecuritiesgroup.com or our customer emergency number, 901-229-2971 or 615-400-4019.

For more information – If you have questions about our business continuity planning, you can contact us at 901-328-4814 or mvincent@thesecuritiesgroup.com.

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