Disclosures
Triune Capital Advisors LLC:
Securities Related Services
The information contained therein is only intended for use by residents of AL, AR, AZ, CA, CO, CT, FL, GA, IL, IN, KS, KY, LA, MD, MI, MN, MO, MS, NJ, NV, NY, NC, NV, OH, OR, PA, PR, RI, SC, SD, TN, TX, VA, WA, WV, WI. Securities related services may not be offered to any individuals residing in any state not listed.
Insurance Related Services
This information contained herein may only be provided to individuals residing in the following states: AL, CO, FL, GA, NC, MD, NY, OH, PA, SC, TN. Insurance related services may not be offered to any individual residing in any state not listed.
Investment Advisory Related Services
The information contained therein is only intended for use by residents of North Carolina. Investment advisory related services may not be offered to any individual residing in any other state.
Business Continuity Disclosure
To Our Clients:
Triune Capital Advisors, 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 is 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.
At the time you opened your account, your Triune representative provided you with a work place telephone number and an alternative cell phone number so you will always be able to reach us at any time. If after a significant business disruption you cannot contact us at our corporate telephone number (704-714-2200), You should call the alternative number provided to you. It is important for you to keep these numbers available in the case of the event a rare situation may occur and our normal facilities are unavailable. If you cannot access us through either of those means, you should contact our clearing firm. This information is as follows: Sterne Agee Leach 980 North Federal Hwy, Suite 108, Boca Raton Florida 33432. Call 1-800-264-4863 for instructions on how you may get prompt access to your funds and securities, enter orders and process other trade-related cash and security transfer transactions.
Our Business Continuity Plan.
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 firms 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. Our business continuity plan addresses the following items: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business. Our clearing firm, Sterne Agee Leach backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its systems are able to detect a failure, automatically divert to its backup systems and be able to complete existing transactions and accept new transactions and payments. Therefore your orders and requests for funds and securities should not be delayed during this period.
FINRA Disclosure Program.
In addition to your privacy rights, Triune Capital Advisors, LLC would also like to advise you of the following information. The FINRA provides a Public Disclosure program for investors about their members. To find out information regarding Triune Capital Advisors, LLC or its Associates, you may call the
FINRA Public Disclosure Program at 1-800-289-9999 or visit their web site at www.FINRAr.com.
The FINRA will provide a brochure with more information about this program upon your request. Member FINRA. Member of SIPC: Securities in your account are protected up to $500,000. For details, please see www.sipc.org
