Regulatory disclaimers

Finalis Securities LLC’s Business Continuity Planning

Finalis Securities LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and 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 our business continuity plan.

Contacting Us

If, after a significant business disruption, you cannot contact us as you usually do at (800) 965-3605, you should visit our website at www.finalis.com for further instructions.

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.
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, given the scope and severity of the disruption.

Our plan addresses:

Data backup and recovery.
Mission-critical systems.
Financial and operational assessments.
Alternative communications with customers, employees, and regulators.
Alternate physical location for employees.
Impact on critical suppliers, contractors, banks, and counterparties.
Regulatory reporting.
Ensuring prompt customer access to our services through registered representatives if we are unable to continue our business.

Varying Disruptions

Significant business disruptions can vary in scope, such as:

Disruptions affecting only our firm or a single building.
Disruptions affecting the business district, city, or region where we are located.

For minimal disruptions (e.g., to our firm or building), we plan to transfer operations to a local site and expect to recover within 24 hours. For broader disruptions (e.g., city or regional), we will move operations to an alternative site outside the affected area and aim to resume business within 24 hours. In both scenarios, we will notify you through our website www.finalis.com or at (800) 965-3605 about how to contact us. If the disruption prevents us from continuing business, we will ensure prompt access to our services through registered representatives.

For More Information

If you have questions about our business continuity planning, please contact us at (800) 965-3605 or compliance@finalis.com.

Form Customer Relationship Summary

Introduction

Finalis Securities LLC is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Brokerage and investment advisory services and fees differ, and it is important for you to understand these differences. Free and simple tools to research firms and financial professionals are available at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

What Investment Services and Advice Can You Provide Me?

We offer brokerage services to retail investors, including recommending and facilitating the purchase or sale of a registered or unregistered security as a placement agent, investment banker, or in a similar capacity. Your Nassau Street Partners representative will act as a Registered Representative of a broker-dealer.

Account Monitoring: We do not offer account monitoring to retail clients.
Non-Discretionary Services: Our brokerage services are non-discretionary; you make the ultimate decision regarding transactions.
Limited Brokerage Services: We provide recommendations only for private and/or unregistered securities and do not offer proprietary products to retail clients.
Investment Requirements: Some private securities may require a minimum investment, net worth, or level of experience.
Custody: We do not take custody of client assets or funds.

Conversation Starters

"Given my financial situation, should I choose a brokerage service? Why or why not?"
"How will you choose investments to recommend to me?"
"What is your relevant experience, including your licenses, education, and other qualifications?"

What Fees Will I Pay?

For brokerage services, we charge a transaction-based commission or placement fee that varies by security and amount invested. Fees may be:

Separate fees: These increase your investment cost.
Issuer-paid fees: These do not affect your investment amount.

More transactions and/or higher investment amounts generally result in more fees, creating an incentive to encourage higher transaction volumes.

Note: Fees and costs are incurred regardless of investment performance and will reduce any gains over time.

Conversation Starter

"Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?"

Legal Obligations and Conflicts of Interest

When providing recommendations, we act in your best interest and do not prioritize our interests over yours. However, our compensation model may create conflicts of interest. For example:

Higher Commissions: We may earn between 5% to 10% on unregistered securities, which is higher than for publicly traded securities.
Disclosures: We encourage you to review all disclosure documents to understand fees and costs.

Conversation Starter

"How might your conflicts of interest affect me, and how will you address them?"

How Do Nassau Street Partners Professionals Make Money?

Our financial professionals receive compensation for each transaction. In some cases, they may also receive additional incentives like warrants, performance fees, or other benefits, which may create conflicts of interest. We address these conflicts by providing full disclosure, offering non-discretionary services, and having supervisors oversee transactions.

Legal or Disciplinary History

Yes, we have a legal or disciplinary history. Please visit www.investor.gov/CRS or www.brokercheck.finra.org for information on Nassau Street Partners or your financial professional's legal and disciplinary history.

Conversation Starter

"As a financial professional, do you have any disciplinary history? For what type of conduct?"

Additional Information

For more information about our services, visit www.finalis.com. For up-to-date information or a copy of this disclosure, please email compliance@finalis.com.