Business Continuity Plan

DISCLOSURE

Pursuant to FINRA Rule 3510, Mufson Howe Hunter & Partners LLC, a SIPC and FINRA Member, along with Mufson Howe Hunter & Company LLC, our parent entity, and Mufson Howe Hunter & Advisors LLC, an affiliated entity (all three entities collectively “MHH”) have developed a Business Continuity Plan (“Plan”) addressing how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and/or disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on MHH’s Business Continuity Plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 215-399-5400, you should call our alternative number at 267-240-9537. In addition, we will provide information regarding our status on our website (www.mhhco.com) if at all possible.

Estimated Time to Recover – We plan to quickly recover and resume business operations after a significant business disruption 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, our Business Continuity Plan is designed to permit MHH to resume operations as quickly as possible, given the scope and severity of the significant business disruption. We review our Business Continuity Plan on a periodic basis; the Plan may be changed without advance notice.

Our Business Continuity Plan addresses: data back-up and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees to conduct business operations; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assurance to our clients that the resumption and continuation of services provided by MHH will occur as soon as possible.

Records and Recovery: We have implemented a methodology to back-up our important records in a multiple geographic facilities in diverse locations away from our current business location. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we are determined and prepared to restore our business operations as soon as possible in order to enable us to provide service to our clients. Nonetheless, you should be aware that during a period of business disruption we may be unable to provide the services for which we have been engaged.

Significant business disruptions can vary in their scope and impact. Such disruptions could affect only our firm’s offices, the building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these scenarios, the severity of the disruption can also vary from minimal to severe. Regardless of whether the disruption is restricted only to our firm or a building housing our firm, or is a disruption affecting our business district, city, or region, we will transfer our operations to an alternative site outside of the affected area. MHH anticipates being able to recover all data within four (4) business hours and resume business activities within two (2) business days of a disruption under all but the most severe circumstances. Whatever the situation, we will make every effort to resume our business as soon as possible, and will notify you through our customer emergency number, 267-240-9537, and our website, if possible, on how to contact us.

If you have questions about our business continuity planning, you may contact Michael J. Mufson, President, at 215-399-5410 or at mmufson@mhhco.com.