Business Continuity Disclosure Statement

Patrick Capital Markets, LLC 
Business Continuity Disclosure Statement

Patrick Capital Markets, LLC (“Patrick”) has a Business Continuity Plan (BCP) in place to prepare for the possibility of a future significant business disruption (“SBD”). An SBD may range in severity from a firm only disruption, such as a fire or a power outage, to a regional disruption, such as a natural disaster or a terrorist attack.   

In the event of a firm only disruption, Patrick has a functional offsite facility locally providing an alternative location from which we can reasonably operate under such an SBD. This facility contains duplicate equipment and telecommunications services, and space for staff to perform critical business functions. Patrick expects to be able to resume business within four (4) hours of this type of event. Clients would continue to be able to contact us by phone at (314) 528-3000 or (866) 963-9336.

If a larger scale disruption occurs, such as a city-wide or regional disruption, Patrick will re-establish operations at another site such as one of our branch offices. Patrick’s recovery time frame will depend on the severity and significance of the event. Patrick’s is subject to modification. This plan and any updates will be promptly posted to our website at www.patrickcapital.com. Customers may alternatively obtain updated summaries by requesting a written copy by mail to the following address:

Patrick Capital Markets, LLC
Attn: Compliance – Business Continuity Request
11152 South Towne Square
St. Louis, MO  63123