Business Continuity Plan Summary Disclosure

Overview
PCS Securities, Inc. (“PCS Securities;” “the Firm”) has created and implemented a business continuity plan (“BCP”) in an effort to mitigate the effects related to unforeseen business interruptions. This BCP is designed to enable the Firm to continue or resume its securities related services in the event of an emergency or significant business disruption (“SBD”).

Communications and locations of Employees during a disruption
In the event of a SBD, PCS Securities will communicate with its employees in several different ways. The Firm will employ a calling tree, which would be implemented by management in the event of an SBD. The Firm has the advantage of having its administrative office outside of Seattle, Washington, and its sales office in Manhattan, New York. Any SBD in either office could be mitigated with assistance from the other office. The BCP addresses the relocation of staff to alternative back-up locations in either New York or Washington State. Recovery time for most of the applications involved in the Firm’s securities related business is expected to range from immediate to 24 hours.

Communications with Customers
PCS Securities traditionally communicates with its clients using the telephone, email, fax, US Mail, website, and in person. In the event of an SBD, PCS Securities will assess which means of communication are still available and use the means closest in speed to the means used in the past. Additionally, if all traditional means of communication are not available, PCS Securities will post emergency contact information and instructions on its web site (www.PCSSecurities.com ) regarding access to either PCS Securities representatives or the representatives of the clearing firms at which clients may have funds or securities. Alternatively, clients may contact directly the clearing brokerage firm or trading desk directly at which their transactions are conducted.

Books & Records
PCS Securities maintains its hard-copy books and records and electronic records primarily at its Main Office in Seattle Washington and back-up books and records at alternate locations. If records are lost as the result of a business disruption or for any other reason, PCS Securities has the means to physically recover data from both physical and electronic back-up locations.

Vendors and Counterparties
PCS Securities’ BCP may need to rely upon the recovery and restoration of services provided by various critical business constituents both at its primary and alternate locations, such as the clearing agents with which the Firm maintains business relationships. PCS Securities has considered the extent to which the Firm may be able to depend upon these business relationships during an SBD as a part of its decision to do business with the constituents. Where possible the Firm has engaged and/or vetted alternate arrangements in order to avoid business disruptions in the case of a business constituent not being able to provide needed goods or services in an emergency.

Disclosure
PCS Securities’ BCP is designed to address the continued operation of the Firm in the event of an emergency situation or SBD. However, all risks of business interruption cannot be eliminated and PCS Securities cannot guarantee that systems will always be available or recoverable following an SBD. Furthermore, PCS Securities has no control over and must rely upon the disaster recovery plans of its various critical business constituents and vendors. In the event that material changes are made to this BCP, PCS Securities will send an updated copy to all of its clients.

The information contained in this disclosure is provided by PCS Securities for informational purposes only, and nothing contained herein shall be construed to amend, supplement or otherwise modify any of the terms and conditions set forth in any agreement between you and PCS Securities.

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