GUNNALLEN FINANCIAL, INC 
IMPORTANT DISCLOSURE INFORMATION
BUSINESS CONTINUITY PLAN

GunnAllen Financial, Inc has a Business Continuity Plan in place to respond to events that significantly disrupt our business such as trading, deposits, withdrawals, any market sensitive items, and ensuring that customers have access to their cash and securities. Since timing and impact of disasters and disruptions are unpredictable we will be flexible in responding to actual events as they occur. Types of disasters that could affect the firm, building in which the firm is located, city, or region are:

Our Business Continuity Plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the business disruption. The plan calls for the routing of phone calls, trades, faxes, and mail to an alternate (out of state) GunnAllen Financial location. Business is intended to be reinstated within a short period of time, allowing customers to access funds, place trades, make deposits, and inquire about their account(s).

During this period of time, GunnAllen will be in the process of getting an alternate site set up with mission critical systems, data back up and recovery, policies and procedures, and employees in order to resume business within a reasonable time after the business disruption. GunnAllen's clearing firm, Pershing LLC will be notified of any business disruption involving GunnAllen Financial and their contact information will be posted on the GunnAllen website in the event of a business disruption. Pershing LLC will be available to customers if needed for trading, deposits, withdrawals, and inquiries.

Clients may be kept up to date on the business disruption by accessing the GunnAllen Financial website address www.gunnallen.com. Modifications to the plan will be updated promptly.
For more information you can contact us at:

GunnAllen Financial Inc. 
Attn: Compliance Department 
5002 West Waters Ave. 4th Floor
Tampa, FL 33634