BUSINESS CONTINUITY DISCLOSURE

February 2024

Stock Securities, LLC (the "Firm" or "Stock") has developed a Business Continuity Plan on how it will respond to events that significantly disrupt its business. Since the timing and impact of disasters and disruptions are unpredictable, the Firm will be flexible in responding to actual events as they occur. With that in mind, the Firm is providing you with this information on its Business Continuity Plan.

Contacting Us - If during or after a significant business disruption, you cannot contact the Firm as you usually do at (609) 924-6710 you should call the Firm's alternative client emergency number (646) 772-9170 or (917) 432-8618.

Stock's Business Continuity Plan - The Firm plans to quickly recover and resume business operations after a significant business disruption and respond by safeguarding the Firm's employees and property, making a financial and operational assessment, protecting the Firm's book s and records, and enabling the Firm's customers to transact business. In short, the Firm's Business Continuity Plan is designed to permit it to resume operations as quickly as possible, given the scope and severity of any significant business disruption.

The Firm's business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical suppliers, contractors, banks and counterparties' impact; regulatory reporting; and providing its clients with prompt access to their funds and securities if the Firm is unable to continue its business.

Varying Disruptions - Significant business disruptions can vary in their scope of impact, such as only the Firm, a single building housing the Firm, the business district where the Firm is located, the city where the Firm is located, or the entire relevant region. Within each of these areas, the severity of the disruption can vary from minimal to severe. I n a disruption to only the Firm or a building housing the Firm, the Firm will transfer its operations to a local site when needed and expect to recover and resume business within four hours.  In a disruption affecting the Firm's business district, city, or region, the Firm will transfer its operations to a site outside of the affected area and recover and resume business within twenty-four hours. In either situation, the Firm plans to continue in business and notify you through the Firm's customer emergency number (646) 772-9170.

For more information - If you have questions about our business continuity planning, you can contact Stock Securities LLC Compliance Department at (917) 432-8618.

Updated: February 2024