Butler Wick & Co., Inc. maintains a Business Continuance Plan designed to follow established procedures in the event a significant disruption should occur which may affect our ability to provide certain client services. The National Association of Securities Dealers (FINRA), of which Butler, Wick & Co, Inc. is a member, has implemented Rule 3510, which requires all member firms to disclose to their clients the firm’s Business Continuance Plan addressing how the firm would respond to business disruptions of varying scope.

Butler Wick utilizes the services of nationally recognized service bureaus to process and maintain vital firm and client information. These service bureaus, located in states other than states in which Butler Wick maintains its offices, maintain redundant business continuance data centers. Butler Wick has successfully completed and regularly participates in mandatory disaster recovery exercises with our service bureaus to ensure that client and firm information is accessible and accurate.

To address local or regional business disruptions, Butler Wick maintains an alternate data center, equipped with backup communications and computer equipment. Butler Wick also maintains alternative office space for occupation by its staff, enabling us to continue servicing our clients. Procedures are in place to ensure that all critical firm, client, and regulatory information are accurately backed up and maintained in a secure location.

Management and employees continue to be advised, involved and test the ability to ensure our ability to continue to service our clients in the event of a national, regional or local business disruption. Testing of our Business Continuance Plan has proven prompt reinstatement of business processes which would provide clients access to funds and securities, their ability to place trades, make deposits and inquire about their account. Utilization of the best means of communication available will be used to notify our clients should a disruption occur. Client communication may include phone, mail, e-mail, news media and our website at www.butlerwick.com. Butler Wick continues to test, enhance and explore ongoing business continuance initiatives to provide efficient business continuity.

Please be advised that any changes or modifications to our plan will be posted to our website at www.butlerwick.com. Should you have any questions, please contact your Financial Advisor at Butler, Wick & Co. Inc.