Business Continuity Plan Summary

Alliance Advisory & Securities, LLC (“Alliance”) has developed a Business Continuity Plan (BCP) that describes how the firm will respond to events that significantly disrupt its business. Since the timing and impact of disasters and disruptions are unpredictable, Alliance must be flexible in responding to actual events as they occur. This Executive Summary is intended to provide clients with information about Alliance’s business continuity planning in the event of a significant business disruption.

Contacting Alliance

If, after a significant business disruption, you cannot contact Alliance as you usually do via telephone or e-mail, you should visit Alliance’s website at http://www.aewealth.com, where an alternative telephone number and/or e-mail address will be posted as needed. If you cannot access Alliance through either of those means, you should contact the custodian of your investment accounts to access your funds and securities, enter trade orders, and process other trade-related, cash, and security transfer transactions. You can find the telephone number for the custodian of your investment accounts on the statements you receive from the custodian. In addition, in the event of a significant business disruption, Alliance will post on its website the telephone numbers for the custodians with which we do business.

Overview of the Business Continuity Plan

Alliance’s BCP is designed to permit the firm to resume business operations as promptly as reasonably possible, taking into account the scope and severity of a significant business disruption.

The BCP addresses, among other things, data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our clients prompt access to their funds and securities if we are unable to continue our business.

The custodians with which Alliance does business with will maintain important records in locations geographically separate from the firm. While every emergency situation poses unique challenges based on external factors, such as time of day and the severity of the disruption, Alliance has been advised that the custodians with which it does business with will seek to restore their operations and process transactions as promptly as reasonably possible. During a significant business disruption, orders and requests for funds and securities could be delayed.

Varying Disruptions

Significant business disruptions can vary in scope, such as only Alliance, a single building housing Alliance, the business district where Alliance is located, the city where Alliance is located, or the entire region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption affecting only Alliance or a building housing Alliance, the firm expects to transfer operations to an appropriate alternate or firm-approved remote location when needed and to resume business as promptly as reasonably possible under the circumstances. In a disruption affecting a broader business district, city, or region, Alliance expects to transfer operations to a site outside of the affected area or otherwise coordinate with the custodian of your investment accounts, and to resume business as promptly as reasonably possible. In either situation, Alliance intends to continue in business, transfer certain operations to your custodian if necessary, and notify clients through its website regarding how to contact the firm. If the significant business disruption is so severe that Alliance cannot remain in business, Alliance will work with custodians to help assure clients continued access to their funds and securities.

For More Information

If you have questions about Alliance’s business continuity planning, you may contact your financial advisor. You may also contact our main office via telephone at (805) 371-8020, or via e-mail at info@aewealth.com. Alliance’s BCP is subject to change, and this Executive Summary may be updated from time to time.