The purpose of this letter is to inform you our clients that Investment Placement Group has developed a Business ContinuityPlan in the event of a significant business disruption. Since the timing and impact of a disaster is unpredictable, we will havetobe flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on ourbusiness continuity plan.


IPG maintains its oce at 350 10th Avenue, Suite 1150, San Diego, CA 92101, telephone number (619) 326 1200; fax (619) 6843606, email: (person’s first name whom you wish in the case of a significant business disruption(SBD), you should contact us by telephone or go to our web site at If we cannot be accessed througheither of those means, you should contact our clearing firm, Pershing, LLC. in writing via facsimile at (201) 413-5368 or bypostal service at Pershing, LLC. P.O. Box 2065 Jersey City, NJ 07303-2065For additional information about how to request funds and securities when your financial organization cannot be contacteddue to a significant business interruption, you can visit section or call (201) 413-3635 forrecorded instructions.If you cannot access the instructions from website or the previously noted telephone number, you may call (213) 624-6100,extension 500, an alternate Pershing number for recorded instructions.


In the event of an emergency or major disruption, the safety of our employees is a vital concern for IPG. The firm will communi-cate with its employees via telephone, in person or any other available means to us. We will use a direct-targeted outreach,one employee calling another, and so on… General closures as such as oce closures and operation hours will be posted in theFirm’s Web site or a recorded updated when available. Protecting our primary facilities is high priority. Since Investment Place-ment Group (IPG) does not maintain custody of customer’s funds or securities, which are maintained by our clearing firm, ouraccount executives will still be able to service our clients in the event of a major physical disruption to our facilities. Intheevent of a significant business disruption, (SBD). Investment Placement Group will immediately regroup to an alternate loca-tion where we will have telephones, faxes and computers and systems available which will enable us to continue the business.Our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope andseverity of the significant business disruption.Our business continuity plan addresses data back up and recovery; all mission critical systems; financial and operationalassessments; alternative communications with customers, employers and regulators; alternate physical locations of employees;critical suppliers, contractors and counter-party impact; regulatory reporting; and assuring our customers prompt access totheir funds and securities if we are unable to continue business.


The Firm’s comprehensive business continuity strategy is designed to enable us to meet our existing obligations to our clients,even in the event of an emergency or significant business disruption; however it is not infallible. The plan is designed to workinmany dierent emergency situations; but emergencies are sometimes by nature, unpredictable and it is impossible to antici-pate every scenario that could cause a business disruption. Furthermore, although we are confident with our own prepared-ness, IPG has no control over the various entities we must depend upon in the event of an emergency. Our business continuityplan will be tested periodically to ensure readiness; but such test might not be able to replicate the actual conditions of a realemergency. This BCP is subject to change without notice. Clients will receive copy of this statement at account opening andmay obtain a hard copy upon written request.