About PWA Securities -
Business Continuity Plan – Disclosure | Privacy Policy | Account Protection

PWA Securities, Inc. maintains a business continuity plan, including redundant data storage and alternate facilities, to address interruptions to its normal course of business. These plans are reviewed annually and updated as necessary. The plans outline the actions PWA Securities will take in the event of an internal or external significant business disruption, including relocating technology and operational personnel to alternate facilities. PWA Securities, Inc. operational facilities are equipped for resumption of business and are tested annually. PWA Securities, Inc. recovery time objective for business resumption, including those involving a relocation of personnel or technology, is four (4) hours. This recovery objective may be negatively affected by the unavailability of external resources and circumstances beyond our control.

In the event that PWA Securities, Inc. experiences a significant business interruption, you may contact our clearing firm (Pershing) directly to process limited trade-related transactions, cash disbursements, and security transfers. Instructions to Pershing must be in writing and transmitted via facsimile at (201) 413-5368 or by postal service as follows:

Pershing LLC
P.O. Box 2065
Jersey City, NJ 07303-2065

For additional information about how to request funds and securities when PWA Securities, Inc. cannot be contacted due to a significant business interruption, please call (201) 413-3635 for recorded instructions. If you cannot access the previously noted telephone number, Pershing may be contacted at (213) 624-6100, extension 500, as an alternate telephone number for recorded instructions.

The Securities and Exchange Commission ("SEC") requires broker/dealers and SEC-registered investment advisers to protect the financial privacy of their consumers through Regulation S-P that implements the privacy requirements of the Gramm-Leach-Bliley Act. A core principle of the rule is that all investment advisers and broker/dealers and their affiliates must provide consumers with initial and annual privacy notices that describe in general terms each firm's information collection and sharing practices. Following is the Privacy Policy Statement for PWA Securities, Inc.

Our Privacy Policy

Respecting Your Privacy
To conduct regular business, we may collect nonpublic personal information from sources such as information reported by you on applications or other forms you provide to us or information about your transactions with us. However, PWA Securities, Inc. does not share or disclose any nonpublic personal information about its current or former customers, except as permitted by law (i.e. court order, client request) or as outlined in our Privacy Policy Statement. All information will remain confidential.

Servicing Your Account
We collect only the information we need to serve you. Sometimes it is necessary to provide information about you to a service company with which you or we do business on your behalf such as a mutual fund, a clearing firm such as Pershing or an insurance company. Your information is never sold or provided to other parties for any other reason.

Information Safeguarding
PWA Securities, Inc. will internally safeguard your nonpublic personal information by restricting those employees who provide products or services to you or those who need access to your information to service your account. In addition, we will maintain physical, electronic and procedural safeguards that meet federal and/or state standards to guard your nonpublic personal information.

Securities held in custody by Pershing for our clients are protected up to the total amount held in their accounts. Of this total, the Securities Investor Protection Corporation (SIPC) provides $500,000 of coverage, no more than $100,000 of which may be in cash. The remaining coverage, on securities only, is provided by Pershing through a commercial insurer. This protection applies in the event Pershing fails financially. It does not protect against losses resulting from the rise and fall of the stock market.