Business Continuity Plan

Uhlmann Price Securities, LLC provides brokerage services to retail and institutional clients. It maintains disaster recovery and business continuity plans that may be activated in the event of a significant business disruption. We recognize the importance of being able to continue material operations if an event takes place that could effect our systems. The plans are key components in maintaining emergency procedures and are required by securities industry regulators.

In planning for potential business disruptions, Uhlmann Price Securities has reviewed a variety of scenarios including a localized, city wide, or regional disruption. In conjunction with our clearing firm and product sponsors our plan is intended to permit a continuation of services within the same business day. To provide this continuity, we maintain back-up technology and processing capabilities in alternate locations. In cases of extreme disruption, where the continuation of business may not be practical or in the best interests of the firm or its clients, we have implemented steps necessary that will allow clients prompt access to their funds and securities.

Clients should appreciate that because our plans contain details of a confidential and proprietary nature, they cannot be distributed to the public. Our plan is subject to modification and updates will be available on our website.

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Uhlmann Price Securities, LLC | (800) 444-7075