Business Continuity

Business Continuity Summary Plan Disclosure

Secfi Securities, LLC (“Secfi,” “we,” “us,” “our”) has developed a Business Continuity Plan (“BCP”) concerning how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our BCP.

CONTACTING US

Secfi may communicate the existence of a significant business disruption through various means. Information related to disruptive events can be communicated through Secfi, Inc. social media accounts on Twitter, through our platform, or by email from our Client Success Team. You can also contact us by emailing our Client Success team at operations@bd.secfi.com.

OUR BUSINESS CONTINUITY PLAN

We plan to attempt 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 customers to transact business. In short, our BCP is designed to permit us to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our continuity plan includes alternate physical locations and preparedness, alternate means to communicate with customers, and data backup and recovery systems. Additionally, our team is equipped with the necessary technology to operate in a fully remote environment. Nonetheless, your business with us could be delayed in the event of a significant business disruption.

VARYING DISRUPTIONS

Significant business disruptions can vary in their scope and in severity from minimal to severe. In either situation, we plan to attempt to continue in business, and notify you through various means as stated above of any issues. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.

FOR MORE INFORMATION

If you have any questions about our business continuity plan, you can contact us at operations@bd.secfi.com.