Nationwide Securities, LLC

Nationwide Securities, LLC (NSLLC) routes 100% of its SEC 606-covered securities to its clearing broker, Pershing LLC, for routing and execution. NSLLC does not receive compensation for directing order flow to Pershing LLC. Pershing LLC receives compensation for directing a portion of the order flow. Pershing LLC’s affiliate, BNY Mellon Capital Markets, may act as principal when an order is routed to its market making desk. View the SEC 606 order routing disclosure report for more information.

Nationwide Securities, LLC ("NSLLC") has created a business continuity plan ("Plan") to address the possibility of a future significant business disruption and to plan its response for a timely recovery to disruptive events of varying scope. The Plan covers back-up and recovery of data, critical business systems, and facilities; customer access to their accounts; and communication with customers, employees, regulators, and critical business relationships. This notice is to provide customers of NSLLC with summary information about the Plan.

In the event of a disruption to NSLLC’s principal office location or the accompanying business district, such as by fire, tornado, or chemical spill for example, NSLLC will continue business by activating its back-up facilities in a geographically separate location from primary systems and records. It is anticipated that business processing will be recovered within twenty-four (24) hours. For information and access related to existing accounts, customers are directed to contact the specific product providers at the phone number or website address included in the customers’ account statement. If an account statement is not available, customers should contact the NSLLC Solutions Center.

Recovery from broader disruptions, such as a citywide or regional event, is expected within 24 to 72 hours. For information and access to existing accounts during such event, customers are again directed to the specific product providers at the phone number or website address included in the customers’ account statement. If an account statement is not available, customers should contact the NSLLC Solutions Center.

The NSLLC Plan is reviewed annually and is subject to modification. Customers may obtain more information by written request using the address below:

NSLLC Solutions Center