IMPORTANT DISCLOSURES

Park Sutton Securities, LLC (also doing business as Park Sutton Advisors, LLC), member of FINRA and SIPC, is required to offer the following notifications:

Park Sutton Advisors, LLC has developed a Business Continuity Plan (BCP) detailing how we would respond to events that significantly disrupt our business. Since the timing and impact of disasters is unpredictable, we would remain flexible in responding to actual situations as they emerge. With this in mind, we are providing some information about our BCP.

If after a significant business disruption (SBD) you are unable to contact us by telephone or email, you should call the cell phone number of your key contact, the phone of Annie Tronoski at 646-727-4572, or go to our website at www.ParkSuttonAdvisors.com where we may post critical information.

Our firm’s policy in response to an internal or external SBD is to safeguard employees’ lives and firm property including the books and records, make a financial and operational assessment, and to quickly recover and resume operations in order to allow our customers to transact business. In the event we determine we are unable to continue to transact business, we will notify our customers and as necessary, will provide them with the direct contact information for either the investment banking intermediary or issuer entity.

Our BCP addresses alternative physical location of employees; data backup and recovery; financial and operational assessments; mission critical systems; alternate communications between the firm and customers, employees, and regulators; critical business constituents, banks, and counter-parties; and regulatory reporting.

Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems.

For more information about our BCP, you may contact us at 646-727-4825 or info@parksuttonadvisors.com.

Selected completed assignments of our Senior Professionals (while with Park Sutton Advisors and Predecessor Firms):

Park Sutton Advisors, LLC

Phone: (646) 727-4825
Fax: (646) 727-4830

295 Madison Avenue
Suite 725
New York, NY 10017

Park Sutton Advisors, LLC

Phone: (646) 727-4825
Fax: (646) 727-4830

295 Madison Avenue
Suite 725
New York, NY 10017