Attachment B

TCFG Wealth Management, LLC

Business Continuity Plan

Client Disclosure Statement

TCFG Wealth Management, 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 949-365-5830
or, you should call our alternative number 949-422-0507. If you cannot access us through
either of those means, you should contact our clearing firm, NFS, at for instructions on how it
may, provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security
transfer transactions for your customers.

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 disruption.

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 firm, NFS, 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 objective is to restore its own operations and be able to complete
existing transactions and accept new transactions and payments within four hours. Your orders and requests for
funds and securities could be delayed during this period.

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 transfer our operations to a local site when
needed and expect to recover and resume business within 4 business hours. In a disruption affecting our business
district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume
business within one business day. In either situation, we plan to continue in business, transfer operations to our
clearing firm if necessary, and notify you through our customer emergency number, 949-422-0507 how to contact
us. 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 949-

This plan is subject to modification and customers may alternatively obtain updated summaries by requesting a
written copy by mail.

Last Updated: June 15, 2013