Business Continuity Plan

Business Continuity Plan for MainLine West Municipal Securities LLC
Mainline West Municipal 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
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 – If after a significant business disruption you cannot contact us as you usually do at (720)
536-3380, you should call our alternative numbers 1-877-214-1770 and/or (303) 883-2242. We will assist
you in gaining access to your funds or securities.

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 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

Our business continuity plan addresses: 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 broker-dealer (Hilltop Securities, Inc.) 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 broker-dealer that its objective is to restore its own operations and be able to complete existing
transactions and accept new transactions and payments within twenty-four hours. Your orders and
requests for funds and securities could be delayed during this period. Click here to review Hilltop 
Securities’ business continuity plan and other important information about their client security policies.

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a
single building housing our firm, the business district where our firm is located, the city where we are
located, or the whole region. Within each of these areas, the severity of the disruption can also vary from
minimal to severe. In a disruption to only our firm or a building housing our firm, we will make an
assessment based upon the length of time the disruption is going to be in force. If the disruption is less
than a day, we will not relocate to our offsite facility, but resume operations when we can get access to
our normal business address. If the interruption was expected to be longer than a day, then we would
activate the offsite facility which we estimate to resume business operations in about eight (8) hours. In
either situation, we plan to continue in business, transfer operations to our agent firm if necessary, and
notify you on how to contact us through our customer emergency number, 1-877-214-1770 or (303) 883-
2242. If the significant business disruption is so severe that it prevents us from remaining in business, we
will assure our customer’s prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, you can contact us
at (720) 536-3380.