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Livingston Securities, LLC
Business Continuity Plan

Securities industry regulations require that brokerage firms provide clients with their plans for contingency in the event of a business disruption due to natural or other forces. Livingston Securities maintains an extensive Business Continuity Plan on file which considers several circumstances of varying magnitude. The following sets forth the basic considerations for a few possible situations:

  • - If our primary physical location and the local network became unavailable, due to any circumstances such as a power outage, internet disruption or lack of physical access to our offices, we would transition our electronic network to operate through its back up location which is located in another state.
  • - In the event that our telephone network was unavailable for an extended period of time but we continued to have use of the internet, the firm would post alternate telephone numbers to its website.
  • - During a significant business disruption, if our clients are unable to reach us either by telephone or internet and require access to their accounts, they are advised to contact Axiom Capital Management Inc. at (212) 521-3800/ www.axiomcapital.com or www.axiomcapital.com/documents/bcp_disclosure_statement.pdf for assistance in accessing their funds and securities.

Livingston Securities regularly assesses and tests its plan to verify that in the unlikely event it experiences a business disruptions, the firm has taken reasonable steps to address risk, service interruption and limited account access.