Business Continuation Summary

FMN Capital Corporation

Business Continuation Plan Summary

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FMN Capital Corporation (FMNCC) is committed to providing timely service to our clients. We recognize the importance of preparing for various disaster scenarios that could hamper our ability to provide such service. FMNCC has taken aggressive steps to provide for business contingency and continuity planning under a variety of potential scenarios. We continue to upgrade our continuity plans and expand our resources in order to provide for the recovery and timely resumption of critical business operations to internal business units, third-party business partners, and our financial advisors and their clients.

FMN’s Business Environment

FMNCC’s headquarters’ staff and operations’ staff are located in one principal location in Mission Viejo. This office serves as the primary site for our Executive office, Legal and Compliance, Research and Business Development units. These units, while vital to the company on a continuing basis, are not considered mission critical for the daily back office operation of our business. This location also serves as primary site for our Operations, Trade Execution and Processing, and Finance.

In the event of a disaster that would make this office unserviceable, these operations would be moved to an alternative facility located a mile away.

FMNCC’s brokerage services platform is operated in another geographical region of the United States by an unaffiliated third-party vendor. None of the scenarios presented in this document would pose a threat of business disruption to this remote site. The third-party vendor has a complete business continuity plan that includes alternative sites and recovery times within 24 hours.

Business Scenario Preparedness

Building Disruption

If FMNCC loses the ability to perform business in its facility, we will relocate staff associated with mission critical functions to an alternative site (e.g. home) in an unaffected area. We have plans in place for this relocation and they are tested periodically. Recovery is expected within two hours.

County Disruption

If FMNCC loses the ability to perform business in OrangeCounty, staff will be relocated to an alternative site (e.g. hotel, home) in an unaffected area. Recovery is expected within 24 hours.

Conclusion

Please be aware that, while we have detailed plans in place, we cannot guarantee that we will be successful in achieving recovery in the times noted above. For example, we may not be able to implement a plan during a disaster as quickly as we expect, or there may be disasters that we have been unable to anticipate and for which we have no plan. Additionally, if parts of our plan are dependent upon third parties, we will have no control over the success or failure of the third party to respond appropriately to the challenges posed at the time of the disaster.

About Us

26041 Acero
Mission Viejo, CA 92691

Phone: (949) 455-0300
Fax: (949) 716-7413 or (949) 455-0303
**Emergency (If our main lines are non-operational): Please dial (011)-(8816)414-55402 or you can call (480)768-2500 and when prompted dial (8816)414-55402.

requests@fmncc.com
Map and Directions

Investment advisory services are offered by Financial Management Network, Inc.(“FMN”) and securities offered through FMN Capital Corporation, (“FMNCC”), member FINRA & SIPC. Securities are not FDIC-Insured, are not bank-guaranteed, may loose value. FMN and FMNCC may only transact business in those states and international jurisdictions where we are registered/filed notice or otherwise excluded or exempted from registration requirements. The purpose of this web site is for information distribution on products and services. Information herein is taken from sources deemed reliable and neither FMN nor FMNCC are responsible for any errors that might occur. Any communications with prospective clients residing in states or international jurisdictions where FMN or FMNCC and their registered representatives are not registered or licensed shall be limited so as not to trigger registration or licensing requirements. Insurance related services from FMN or FMNCC may not be provided to individuals residing in any states other than AZ, CA, CT, FL, IA, KS, MO, OR, TX, VA and WA. Securities related services from FMNCC may not be provided to individuals residing in any states other than AK, AZ, AR, CA, CO, CT, FL, GA, HI, IA, ID, IL, IN, KS, MD, MI, MN, MS, MO, MT, NM, NJ, NY, NV, NC, OH, OK, OR, TX, UT, VA, WA, and WI. The information you submit on the calculator pages may not be secure. Please do not submit any information that must remain private. The financial calculator results shown represent analysis and estimates based on the assumptions you have provided, but they do not reflect all relevant elements of your personal situation. The actual effects of your financial decisions may vary significantly from these estimates--so these estimates should not be regarded as predictions, advice, or recommendations. Neither FMN nor FMNCC provide legal or tax advice. Be sure to consult with your own tax and legal advisors before taking any action that would have tax consequences. Neither FMN nor FMNCC assisted in the preparation of this material, and its accuracy and completeness are not guaranteed. The opinions expressed are those of the author(s) and are not necessarily those of FMN, FMNCC or their affiliates. The material has been prepared or is distributed solely for information purposes and is not a solicitation or an offer to buy any security or instrument or to participate in any trading strategy.

NOTICE OF IDENTITY VERIFICATION

To help the government fight the funding of terrorism and money-laundering activities, and to verify your identity, federal law requires that FMN Capital Corporation (FMN) and/or National Financial Services LLC (NFS) obtain your name, date of birth, address, and a government-issued identification number before opening your account. In certain circumstances, FMN and/or NFS may obtain and verify this information with respect to any persons(s) authorized to effect transactions in an account. For certain entities, such as trusts, estates, corporations, partnerships, or other organizations, identifying documentation is also required. Your account may be restricted and/or closed if FMN and/or NFS cannot verify this information. FMN and/or NFS will not be responsible from any failure to provide this information, or from any restriction placed upon, or closing of, your account.