Business Continuity Plan

Wharton MidMarket Securities Inc (“WMMS”) 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, WMMS will have to be flexible in responding to actual events as they occur. With that in mind, WMMS is providing you with the information on its business continuity plan.

Contacting us- After a significant business disruption you should contact us as you usually do at (203) 606-9696 or go to our website at www.WhartonMidMarketAdvisors.com. If you cannot access us through either of those means, you should contact call our alternate phone number (716) 725-1199.

Our Business Continuity Plan- WMMS plans 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, protecting the firm’s books and records, and allowing our clients to transact business. 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 backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees and regulators; alternate physical location of employees; regulatory reporting; and assuring our clients prompt access to our staff.

Varying Disruptions- Significant business disruptions can vary in their scope, such as that which impacts 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 48 hours. 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 three days. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their information.

For more information- If you have questions about our business continuity planning, you can contact us at (203) 606-9696.