Legal Disclosures

Business Continuity Plan

Amuni Financial Inc. 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– During a significant business disruption, Amuni Financial, Inc. will re-establish telephone service with our clients as soon as possible. Our clients should check our website at http://www.amuni.com for our latest information. As a client of Amuni Financial, Inc. we recognize you may need access to your account to sell a position or request a check before we re-establish telephone service. During this time, First Clearing1 , our clearing firm, will assist you with sell/liquidation orders and provide check disbursements if needed. If our firm has declared an emergency and you cannot contact us, please call First Clearing for assistance at 877-496- 3223.

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 backup 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, First Clearing, 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 as soon as personnel can reach the alternate site. 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 the closest of our unaffected branch office locations and expect to recover within 4 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 as soon as personnel can safely reach the alternate site. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site amuni.com or our customer emergency number, 800-868-6864 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 info@amuni.com or 800-868-6864.

 

1 First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non- bank affiliate of Wells Fargo & Company.

Links to Other Websites

Amuni Financial’s website may include links to other websites.  Any personal information that you submit to outside sites is subject to the privacy policies of those sites.  If you submit personal information to any website, we encourage you to carefully read any and all privacy statements.

Routing Practices

We are exempt from SEC Rule 11ac1-6 reporting. However, individual order information is available upon request. An aggregated report for all of First Clearing can be viewed by clicking on the link below.
You can read the SEC-Required Report on Routing of Customer Orders for the current quarter.

USA Patriot Act

Customer Identification Program Notice

Important Information You Need to Know About Opening A New Account.
To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.
This notice answers some questions about our Customer Identification Program.

What types of information will I need to provide?

When you open an account we are required to collect information such as the following from you:

  • Your Name
  • Date of birth
  • Address
  • Identification number:
    U.S. Citizen: taxpayer identification number (social security number or employer identification number)
    Non-U.S. Citizen: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you. You may also need to show your driver’s license or other identifying documents.
    A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.

U.S. Department of the Treasury, Securities and Exchange Commission, FINRA, and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

What happens if I don’t provide the information requested or my identity can’t be verified?

We may not be able to open an account or carry out transactions for you. If we have already opened an account for you, we may have to close it.
We thank you for your patience and hope that you will support the financial industry’s efforts to deny terrorists and money launderers access to America’s financial system.

Cash Sweep Program Disclosure

Please click here to consult the full text of the disclosure statement for further information at the pages indicated.
Available Sweep Options – Refer to Page 2

The available sweep options currently consist of:

    1. Interest-bearing deposit accounts at banks (the”Program Banks”) including banks affiliated with our Clearing Agent in our Expanded Bank Deposit Sweep program,
    2. Interest-bearing deposit accounts at two or more banks affiliated with our Clearing Agent in our Standard Bank Deposit Sweep program, and
    3. One or more proprietary and/or non-proprietary Money Market Mutual Funds. Eligibility for each available sweep vehicle is determined by account type.
How the Cash Sweep Program Works – Refer to Page 2

The Cash Sweep Program allows you to earn a return on the uninvested cash balances in your account by automatically placing (“sweeping”) cash balances into a sweep vehicle until such balances are invested by you or otherwise needed to satisfy obligations arising in connection with your account.

Brokerage Compensation Information and Conflicts of Interest Disclosures

AMUNI Financial, Inc. (AMUNI) has conflicts of interest.  AMUNI provides both advisory and brokerage services.  AMUNI discloses conflicts of interest related to its advisory programs and services in various Form ADV disclosure brochures.  The information below describes conflicts of interest that relate to AMUNI’s brokerage and referral compensation received by AMUNI, its financial registered representatives (Amuni Financial Registered Representatives) and its dually registered financial advisors.

Investment Adviser Public Disclosure

Our current ADVs are available to download at the following link:

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