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Summit Brokerage Services, Inc. Logo

Business Continuity Plan
Client Account Agreement
Privacy Statement
Disclaimer
Customer Identification Program
Revenue Sharing Disclosure
SEC Order Execution and Routing Disclosure
Customer Fee Schedule
ADV Part 2A: Firm Brochure
ADV Part 2A, Appendix1: Wrap Fee Program Brochure

Business Continuity Plan
Summit Brokerage Services, Inc. and its affiliates have developed a Business Continuity Plan outlining how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we are flexible in responding to actual events as they occur.

Contacting Us - During a significant business disruption you should be able to contact us as you usually do at 800-226-2660. However, if you cannot reach us at that number, you should contact our clearing firm, First Clearing, LLC at 877-496-3223 or Pershing LLC at 201-413-3635 for instructions on how they can provide prompt access to funds and securities, enter orders and process other trade-related cash and security transfer transactions.

Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption 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, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, subject to the scope and severity of the significant business disruption.

Our Business Continuity Plan 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.

Our clearing firms, First Clearing, LLC and Pershing LLC, back up our records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by First Clearing and Pershing that their internal objective is to restore their own operations and be able to complete existing transactions and accept new transactions and payments within in a timely manner. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions - Significant business disruptions can vary in their scope, whether it affects only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or an entire region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within one day. In both cases, we plan to continue in business and post pertinent information on our website, www.Summitbrokerage.com. If the significant business disruption is so severe that it prevents us from remaining in business, we will facilitate our customers' prompt access to their funds and securities. If you have questions about our business continuity planning, please contact us at 800-226-2660.

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Privacy Statement

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Legal Disclaimer

Securities are not FDIC insured, are not guaranteed against market risk and may lose value. All illustrations used on this website are hypothetical and assume certain facts, figures or rates of return. Some illustrations may show how a market index has performed. An investor cannot invest in an index, although there are some investments designed to mirror index performance. Past performance is not a guarantee of future results.

Any guarantees for insurance products are based on the claims paying ability of the issuing insurance company. Annuities are long-term contracts intended for retirement purposes, and should not be purchased with funds for which there will be an immediate or short-term need, as early withdrawals can result in tax penalties and/or surrender charges.

Neither Summit nor any of its registered representatives are permitted to give legal or tax advice on behalf of Summit, its subsidiaries or affiliates. Some individuals who are registered representatives of Summit may be attorneys or accountants and may separately provide tax advice or services under a name other than Summit, its subsidiaries or affiliates. For purposes of an investor's overall financial, estate or retirement plan, Summit highly encourages its investors to obtain the independent advice and services of legal and tax professionals.

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Customer Identification Program

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Revenue Sharing Disclosure

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SEC Order Execution and Routing Disclosure
The Securities and Exchange Commission ("SEC") has adopted Rule 606 (formerly 11Ac1-6), which requires all brokerage firms to make publicly available quarterly reports on their order routing practices. In compliance with Rule 606 (formerly 11Ac1-6), Summit Brokerage Services' order routing statistics are available for review by
clicking here.

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Customer Fee Schedule

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Click here to view Pershing Fee Schedule.

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