Centennial Securities Company Business Continuity Disclosure Statement Pursuant to NASD and SEC regulation, Centennial Securities Company is providing this document to inform you of its ability to respond to certain business disruptions. Centennial has a Business Continuity Plan (BCP) in place to prepare for the possibility of future significant business disruptions (SBD) ranging in severity from a firm only disruption to a regional disruption. The firm realizes the critical nature of being able to continue material operations if an incident occurs that could affect mission-critical business units and systems. To assist this business continuity, the firm plans to maintain back-up technology processing capabilities in alternate locations. These plans are key components in maintaining emergency procedures.

In keeping with the regulatory requirements, the BCP for Centennial is designed to address key areas of concern – including but not limited to the following:

• Data back-up and recovery (hard copy and electronic);
• All mission critical systems;
• Financial and operational assessments;
• Alternate communications between customers and the member;
• Alternate communications between the member and its employees;
• Alternate physical location of employees;
• Critical business constituents, banks, and counter-party impact;
• Regulatory reporting;
• Communications with regulators; and
• How the member will assure customers’ prompt access to their funds and securities in the event that the member determines that it is unable to continue its business.

In the event where a primary building is affected, the firm is fortunate to have three branch offices in which to relocate. All buildings are served by EPS systems and have 24-hour security services. Should the main office be affected by a disruption, the other buildings can be used to help restore operations.

Centennial maintains a strong relationship with First Clearing Corporation LLC (FCC), which acts as the clearing firm, providing back-office and trade support. We fully introduce your accounts to FCC as they maintain your assets and settle transactions on your behalf. Regardless of the scope of potential disruption, FCC intends to continue to provide service to Centennial and our clients.

Making sure that any type of disruption does not unduly impact our clients is extremely important to us, and our business continuity plan is designed to allow us to continue to provide the quality service you have come to expect from Centennial Securities Company.