Business Continuity Disclosure Statement

Important Notice in the case of Business Disruptions.

The Firm is committed to protecting the interests of its clients at all times. The Firm has developed a plan to provide for business continuity (the Business Continuity Plan, “BCP”) in the event that business is disrupted. The BCP addresses all critical business processes, including providing clients with the ability to buy and/or sell and providing access to securities and funds.

The BCP addresses interruptions that are either localized or regional in scope regardless of the cause.

The BCP is reviewed and tested annually and has been approved by senior management. Should a disruption occur at the Firm’s headquarters in California, some operational functions may be temporarily disrupted while staff relocates to predetermined alternative sites. The Firm has Information Technology services that are housed and operate concurrently in dual, geographically disperse sites. Either site is capable of supporting all critical functions should one site be disabled. Any business disruption at the Firm will not result in the loss of your account information, securities or money.

Your securities and funds are held at your respective custodians (transfer agents, banks, GTN.) that each have their own successfully tested business continuity capabilities. These facilities are all located remotely from the Firm’s corporate data processing sites. In the event that a disruption occurs that affects the Firm, relevant information, including contact information, will be prominently displayed on the website.

GTN is committed to taking commercially reasonable steps to provide protection for essential activities and critical support services should significant business disruption result from events such as power outages, natural disasters, pandemics or other situations. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.  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 our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

The BCP is reviewed and tested annually and has been approved by senior management. Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternative physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting. We constantly re-evaluate and improve our response to disruptive events, therefore the BCP is subject to modification without notification. A copy of the BCP can be obtained by contacting


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4509 Creedmoor Road, Suite 201

Raleigh, NC 27612 United States

Call us: +1 332 230 1184