Business Continuity Plan & Disclosures

Customer Disclosure Statement

Elevation plans to quickly recover and resume business operations after a significant business disruption (SBD) 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, Elevation’s business continuity plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.

The BCP addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank, and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Elevation’s clearing firms, RBC Capital Markets, LLC and Societe General, back up our important records in a geographically separate area. While every emergency poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within 4 to 12hours. Your orders and requests for funds and securities could be delayed during this period.

Significant Business Disruptions: Elevation’s plan considers two types of Significant Business Disruptions, internal and external. Internal SBDs affect only Elevation’s ability to communicate and do business, such as a fire or loss of electrical power in the office or building.

External SBDs prevent the operation of the securities markets or several firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption inessential services.

Internal SBDs: In the event of a disruption in Elevation’s business operations due to an internal SBD, Elevation will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location.

If personnel or operations must be moved to an alternate location, Elevation anticipates that it will resume regular operations within 4 to 12 hours.

External SBDs: In the event of a disruption in Elevation’s business operations due to an external SBD, the Company will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the affected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business or to access their funds and securities. Elevation will attempt to resume business within 24-48 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.

In all cases, Elevation will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event.

If the significant business disruption is so severe that it prevents us from remaining in business, we will ensure our customer’s prompt access to their funds and securities.

Communications: : In the event you are unable to reach Elevation at our main number (704-926-1100), please proceed as follows:

1. Contact Elevation at the following alternate telephone number: 704-340-5892 or call your Elevation contact at the cell phone number listed on their e-mail signature line.
2. Access Elevation’s website at www.elevationsecurities.com
3. For non-RBC clearing firm transactions, contact the clearing firm directly at one of the following telephone numbers to process transactions or for information on your holdings: Societe General at +44 207 676 6005; and Cowen/Convergex at 407-608-1908. Any RBC clearing firm transactions will first require direct contact with Elevation at the numbers above.
4. Access these clearing firms’ websites for more information on contacting this entity and their business continuity plans. The website address can generally be found on your statement or offering documents.
5. Contact FINRA’s regional office at the following telephone number for more information on Elevation’s status and additional instructions:

FINRA Southeast Region
5200 Town Center Circle
Tower 1, 2nd Floor
Boca Raton, FL 33486
561-416-0277

Contact information: Any questions regarding Elevation’s Business Continuity Plan should be addressed to: Patrick Sheehan, 704-926-1100 or psheehan@elevationsecurities.com.