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Trout Capital Llc.

Trout Capital Llc is a member of NASD, the National Association of Securities Dealers. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.

Trout Capital has created and implemented a business continuity plan in an effort to mitigate the effects related to unforeseen business interruptions. This BCP is designed to enable the Firm to continue or resume its investment banking advisory service in the event of an emergency or significant business disruption.

The BCP also addresses the relocation of staff to alternate back-up locations in the New York and California areas, which would be available to run the Firm’s investment banking and advisory services for an interim period of time. Recovery time for most of the applications and the relocation to the alternate location is expected to range from 12 to 36 hours.

Trout currently communicates with its clients using the telephone, email, fax, US Mail, and in person. Trout will assess which means of communication are still available and use the means closest in speed to the means used in the past. Additionally, if all traditional communications are not available. The Company maintains its hard-copy books and records and electronic records primarily at its main office in New York and back up books and records at alternate locations. If records are lost as the result of a business disruption or for any other reason, Trout has the means to physically recover data from both physical and electronic back up locations.

Trout’s BCP may need to rely upon the recovery and restoration of services provided by various critical business constituents both at its primary and alternate locations. Trout has considered the extent to which the Firm may be able to depend upon these business relationships during an SBD as a part of its decision to do business with the constituents. Where possible the Firm has engaged and/or vetted alternate arrangements in order to avoid business disruptions in the case of a business constituent not being able to provide needed goods or services in an emergency. .

The company's goal is to have steady growth through working closely with their customers to help them succeed.

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