Exos Partners, LLC

Description

Our firm’s policy is to respond to a Significant Business Disruption ("SBD") 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 clients to transact business. The purpose of the policy is to insure that we have implemented policies and procedures that are reasonably designed to mitigate the effects of a short – or long- term interruption to our business operations. In the event that we determine we are unable to continue our business we will assure clients prompt access to their funds and securities. Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as an earthquake, terrorist attack, or a wide scale regional disruption. Our response to an external SBD relies heavily on other organization and systems and therefore their BCP plans – especially the capabilities of our clearing firm (Pershing, LLC) our investment products and services alliance partner, (Envestnet Asset Management, Incorporated), and our technology and communications partner (The Lloyd Group). EXOS Partners will furnish a written BCP disclosure to clients at account opening and will provide a copy of the Business Continuity Plan to clients upon request. Contact (877) 599-EXOS with requests. FINRA , SIPC and subsidiary of Exos Advisors, LLC. Advisory services offered through Exos Advisors, LLC, an SEC -registered investment adviser and subsidiary of Exos Partners, LLC. Links: SEC

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