Securities are offered through Finalis Securities, LLC, member FINRA/SIPC. (Finalis). Finalis has developed a Business Continuity Plan (BCP) as part of our ongoing contingency planning efforts to mitigate the impacts of business interruptions. Since disasters and disruptions are 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.

We plan to quickly recover and resume business operations after a Significant Business Disruption and respond by safeguarding employees’ lives and firm property, 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.

Our business continuity plan addresses:

  • data back up and recovery;

  • 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;

  • and regulatory reporting

Significant business disruptions can vary in their scope. For example, an SBD could affect 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 any situation, we plan to continue in business, and notify you through our web site or our main customer number regarding how to contact us. This plan is reviewed periodically and subject to modification without notice. A written copy of the summary of this plan is provided to customers at account opening, posted on the firm’s website, and provided to customers upon request. If you have questions about our business continuity planning, please contact us at your convenience.

Securities are offered through Finalis Securities LLC (https://www.finalis.com/), Member FINRA/SIPC. Qualia Legacy Advisors LLC, is not a registered broker-dealer, and Finalis Securities LLC and Qualia Legacy Advisors LLC are separate, unaffiliated entities. Finalis Securities LLC, Office of Supervisory Jurisdiction is located at 450 Lexington Ave., New York, NY 10017, 800-962-0418. www.qualialegacy.com (the “QLA Website") is a website operated by Qualia Legacy Advisors, LLC. This website is for informational purposes only, is not an offer, solicitation, recommendation, or commitment for any transaction or to buy or sell any security or other financial product and is not intended as investment advice or as a confirmation of any transaction. Products and services on this website may not be available for residents of certain jurisdictions. Please consult with a Finalis Securities’ registered representative regarding the product or service in question for further information. Investments involve risk and are not guaranteed to appreciate. Any market price, indicative value, estimate, view, opinion, data, or other information herein is not warranted as to completeness or accuracy, is subject to change without notice, and Qualia Legacy Advisors, LLC, along with Finalis Securities LLC accepts no liability for its use or to update it or keep it current.

Investing in private placements involves a high degree of risk. These investments may be illiquid, speculative, and subject to substantial restrictions on transferability. Investors may lose all or part of their investment and should only invest capital they can afford to lose. Prospective investors should conduct their own due diligence and consult with their legal, tax, and financial advisors prior to making any investment decision. For your reference, Finalis’ Form CRS describes the services that we provide, how we are compensated, and other important information about Finalis Securities LLC.

Privacy Policy: https://www.finalis.com/privacy

Business Continuity Plan: https://www.finalis.com/regulatory-disclaimers

BrokerCheck: https://brokercheck.finra.org/

FormCRS: https://www.finalis.com/regulatory-disclaimers?form-CRS