BCP DISCLOSURE STATEMENT

John Thomas Financial ("The Firm") that maintains your account is a fully disclosed broker-dealer and member of the FINRA as well as a member of SIPC. FINRA Rule 3510 requires each member firm to create and maintain a business continuity plan. In accordance with these rules the firm has developed a plan to ensure that business continues to run uninterrupted during business emergencies.

The plan is designed to address key areas of concern including but not limited to the following:

1. Books and records recovery;
2. All mission critical systems;
3. Financial and operational assessments;
4. Alternate means of communication between the firm and its customers;
5. Alternate means of communication between the firm and its employees;
6. Alternate physical locations of employees;
7. Critical business constituent, bank and counter-party impact;
8. Regulatory reporting;
9. Communications with regulators; and
10. How the firm will ensure that all customers have access to their funds and securities in the event the firm determines it is unable to continue its business.

Events creating a disruption of business may vary in nature. They could affect only the firm, affect the building where the firm located, affect the entire business district where the firm is located, result in a citywide disruption, or result in a regional disruption. The firm fully intends to continue to conduct its securities business during these periods of business disruption ranging from disruptions that only affect the firm to disruptions that have regional impact.

In the event a SBD prevents customers from contacting the firm by using the firm’s primary phone number, fax number, or email address, customers may contact the firm by using the following secondary contact information:

If a SBD disrupts both the primary and secondary methods of contacting the firm, customers should contact the clearing firm, Sterne Agee at (800-264-4863) and/or product sponsors at the number provided on quarterly statements.

In an event the firm will immediately establish a center utilizing its back up systems as well as its mobile communications to relay pertinent information to clients. Please be advised that business continuity plans are subject to change and modification. While no contingency plan can eliminate all risk of service interruption or temporarily impeded account access, the firm continually assesses and updates its BCP to mitigate all reasonable risk.

Should you have any questions concerning our business continuity plan, or wish to see the full plan you may submit a written request for additional information to our Customer Service Department located at:

John Thomas Financial Customer Service Department
14 Wall Street 5th Fl
New York, NY 10005