BUSINESS CONTINUITY

Dominari Securities, LLC Business Continuity Plan

Dominari Securities LLC has developed a Business Continuity Plan (BCP) explaining how we will respond to both internal and external significant business disruptions (SBDs). Since the timing and the impact of a disaster or disruption is unpredictable, Dominari will need to be flexible in our response to actual events as they occur. With this in mind, we are providing you with this information on our BCP. All Dominari Securities employees have also been provided with a copy of this BCP. The Dominari CEO/President, Chief Compliance Officer, Executive Vice President, and/or the Information Security Officer (ISO) all have the authority to execute this BCP.

The Dominari BCP addresses the back-up and recovery of important data, all mission critical systems, financial and operational assessments, and alternative communication methods with our customers, employees, and regulators. The BCP will also address alternative physical location for employees to conduct our business, our critical suppliers and vendors, the impact on banking access and counterparties, regulatory reporting, and the importance of assuring that our customers have prompt access to their funds and securities when Dominari is unable to continue our normal business activities.

Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm's ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems, especially on the capabilities of our clearing firm.

SBDs can vary in scope. For instance, the scope of the disruption may impact only Dominari, a particular section of Dominari, or the geographical area where we are located including, the city or an entire region. The severity of the disruption can also vary from minimal to severe. If the disruption is only to Dominari, to our building for instance, then we will transfer our operations to a local site when needed and expect to recover and resume business within one day. For disruptions that impact our business district, city, or region, Dominari will transfer our operations to a site outside of the affected area and expects to recover and resume business within one business day. In either situation, Dominari plans to continue conducting business, transfer operations to our clearing firm if needed, and to notify clients through our website http://www.dominarisecurities.com. Information will also be available by calling (212) 393-4500. During an SBD, alternative work schedule will be addressed. All essential personnel have the capacity to work remotely.

Data Backup Recovery

Dominari maintains its primary hard copy books and records at 725 Fifth Avenue, 23rd Floor, New York, NY 10022, and electronic records are stored on third-party cloud-based servers. The Dominari CCO is responsible for the maintenance of these books and records. Dominari uses several vendors to electronically store certain books and records. A complete listing of the location of certain electronically stored books and records can be found on FINRA’s Broker Check by downloading the Detailed Report for Dominari Securities LLC.

Dominari endeavors to maintain all of its records in an electronic format. In the event of an internal or external SBD that causes the loss of our electronic records, we will physically recover them from our cloud-based servers. If our primary site is inoperable, we will continue operations from our back-up site or an alternate location. For the loss of electronic records, we will either physically recover the storage media or electronically recover data from our back-up site, or, if our primary site is inoperable, continue operations from our back-up site or an alternate location.

Mission Critical Systems

Dominari's "mission critical systems" are those that ensure prompt and accurate processing of securities transactions, including order taking, entry, execution, comparison, allocation, clearance and settlement of securities transactions, the maintenance of customer accounts, access to customer accounts and the delivery of funds and securities.

We have primary responsibility for establishing and maintaining our business relationships with our customers and have sole responsibility for our mission critical functions of order taking, entry, and execution. Our clearing firms provide, through contract, the execution, comparison, allocation, clearance and settlement of securities transactions, maintenance of customer accounts, access to customer accounts and the delivery of funds and securities.

Our clearing firm contract provides that they will maintain a BCP and the capacity to execute that plan. Our clearing firms represent that they will advise us of any material changes to their plan that might affect our ability to maintain our business and have made available to us an executive summary of their plans. In the event one of our clearing firms executes its plan, they represent that they will notify us of such execution and provide us with equal access to services as their other customers. If we reasonably determine that our clearing firms have not or cannot put their plan in place quickly enough to meet our needs or are otherwise unable to provide access to such services, our clearing firms represent that they will assist us in seeking services from an alternative source.

Our clearing firms represent that they operate a back-up operating facility in a geographically separate area with the capability to conduct the same volume of business as their primary sites. Our clearing firms have also confirmed that they periodically test the effectiveness of their back-up arrangements to recover from a wide scale disruption by periodic testing.

Recovery-time objectives provide concrete goals to plan for and test against. They are not, however, hard and fast deadlines that must be met in every emergency, and various external factors surrounding a disruption, such as time of day, scope of disruption, and status of critical infrastructure-particularly telecommunications-can affect actual recovery times. Recovery refers to the restoration of clearing and settlement activities after a wide-scale disruption; resumption refers to the capacity to accept and process new transactions and payments after a wide-scale disruption. The SBD recovery and resumption times of our clearing firms are noted in their BCP located online at:

Dominari will periodically review our clearing firms’ capabilities to perform the mission critical functions that they have contracted to perform for our firm.

Order Tracking
Currently, Dominari receives orders from customers via telephone, or in-person customer visits, etc. During an SBD, either internal or external, we will continue to take orders through any of these methods that are available and reliable, and in addition, as communications permit, we will inform our customers when communications become available to tell them what alternatives they have to send their orders to us. Customers will be informed of alternatives by all methods available during the SBD. If necessary, we will advise our customers to place orders directly with our clearing firm.
Order Entry
Currently, Dominari enters orders by sending them to the clearing firm electronically or by telephone. In the event of an internal SBD, we will enter and send records to our clearing firm by the fastest alternative means available. In the event of an external SBD, we will maintain the order in electronic or paper format and deliver the order to the clearing firm by the fastest means available when it resumes operations. In addition, during an internal SBD, we may need to refer our customers to deal directly with our clearing firms for order entry.
Order Execution
We currently execute orders directly through Schwab, RBC, and Wedbush. Should that process not be available, DS can execute orders via a web version of the normal procedure.
Other Services Provided by Our Clearing Firm
Our firm relies, by contract, on our clearing firms to provide order execution, order comparison, order allocation, customer account maintenance and/or access and delivery of funds and securities.
IT Services/VOi Platform
DS utilizes the technology services of third-party providers that provide DS with a secure environment in which DS employees and advisors can securely connect to some of our critical vendors including our clearing firms. Based on due diligence information provided to us by our third-party providers, DS feels that we will be able recover more quickly and efficiently due to their services and expertise. For instance, should an internal or external SBD that requires DS to implement a process where employees work from their homes, these services will provide secure remote access that allows DS to quickly begin processing business for our clients.

Financial and Operational Assessments

Dominari conducts business in equity, fixed income, and derivative securities. Our firm is an introducing firm and does not perform any type of clearing function for itself or others. Furthermore, we do not hold customer funds or securities. We accept and enter orders. All transactions are sent to our clearing firm, which executes our orders, compares them, allocates them, clears and settles them. Our clearing firm also maintains our customers' accounts, can grant customers access to them, and delivers funds and securities. Dominari services only retail customers and institutional customers.

Dominari plans to quickly recover and resume business operations after any SBD event and to respond by safeguarding our employees and property, making a thorough financial and operational assessment, protecting Dominari's books and records and allowing our customers to transact business. The Dominari BCP is designed to allow us to resume operations as quickly as possible given the scope and severity of the SBD event.

Dominari does not maintain custody of customers' funds or securities. Customer funds and securities are maintained at our clearing firms, Schwab, RBC, and Wedbush. In the event of an internal or external SBD, if telephone service is available, our registered persons will take customer orders or instructions and contact our clearing firm on their behalf. If our web access is available, our firm will post on our website that customers may access their funds and securities by contacting our clearing firms, Schwab, RBC, and Wedbush. Dominari will make this information available to customers through its disclosure policy. Our clearing firms back up our important records in a geographically separate area. While every emergency situation presents unique problems based on external factors, such as time of day and severity of the disruption, Dominari has been advised by our clearing firms that their objective is also to restore their own operations and be able to complete existing transactions and accept new transactions and payments within four hours. Keep in mind that your orders and requests for funds and securities could be delayed during this time.

If SIPC determines that Dominari is unable to meet our obligations to our customers or if our liabilities exceed our assets in violation of Securities Exchange Act Rule 15c3-1, SIPC may seek to appoint a trustee to disburse our assets to customers. We will assist SIPC and the trustee by providing our books and records and identifying customer accounts subject to SIPC regulation.

If the disruption is so severe that we are completely unable to conduct regular business, we will assure our customers prompt access to their funds and securities. In the event of an SBD, Dominari will determine the value and liquidity of our investments and other assets to evaluate our ability to continue to fund our operations and remain in capital compliance. We will contact our clearing firms, critical banks, and investors to apprise them of our financial status. If we determine that we may be unable to meet our obligations to those counterparties or otherwise continue to fund our operations, we will request additional financing from our bank or other credit sources to fulfill our obligations to our customers and clients. If we cannot remedy a capital deficiency, we will file appropriate notices with our regulators and immediately take appropriate steps.

Alternate Communication between Customers and Dominari

Should there be an SBD event and you are unable to contact Dominari Securities as you usually do at (212) 393-4500 or (800) 299-7618, please go to our website at www.dominarisecurities.com.

If you are unable to contact Dominari by way of our telephone number or our website, you should call or visit the websites of our clearing brokers, Schwab (https://schwab.com), RBC (https://rbcclearingandcustody.com/en-us/), Wedbush (https://www.wedbush.com/contact-us/) for instructions on how they can provide services to you in the event of a significant business disruption. They will be able to assist you in gaining prompt access to your funds and securities, entering orders along with processing other trade-related, cash and security transfer transactions for your account(s). Contact information for Schwab, RBC, and Wedbush can be found on the account statement that you receive from them.

Alternate Communications between Dominari and Employees

Dominari communicates with our employees using telephone, email, in person, etc. In the event of an SBD, we will assess which means of communication are still available to us and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with them. We will also employ a call tree so that senior management can reach all employees quickly during an SBD. The call tree includes all staff home and office phone numbers.

Alternate Physical Location of Employees

Dominari Securities' main office is located at 725 Fifth Avenue, 23rd Floor, New York, NY 10022, and our main telephone number is (212) 393-4500 or 1 (800) 299-7618. We engage in order taking and entry at this location. Dominari employees may travel to this office location by means of foot, car, subway, train, bus, etc. Our two branch locations are New York City and Garden City, NY. In the event of an SBD, Dominari’s primary course of action is to move staff from an affected office to the closest unaffected office location of our parent company, Dominari Holdings Inc. The secondary course of action is for staff to conduct business remotely for the duration of the SBD. Should there be additional office locations in the future other than our home office, DS will move staff from an affected office to the closest unaffected office location.

In the event of a public health crisis that results in a high rate of employee absenteeism, Dominari’s plan focuses available personnel on critical business functions that directly support client needs and financial markets. Dominari may also enact a conditional work from home and/or workforce continuity plan that will include social distancing and other policies to limit the exposure of our employees.

Critical Business Constituent, Bank, and Counter-party Impact

Dominari Securities will contact our critical business constituents (businesses with which we have an ongoing commercial relationship in support of our operating activities, such as vendors providing us critical services) and determine the extent to which we can continue our business relationship with them in light of an internal or external SBD. We will quickly establish alternative arrangements if a business constituent can no longer provide the needed goods or services when needed because of an SBD impacting them or our firm. A listing of our major vendors is available by contacting Dominari directly at (212) 393-4500 or by sending an email request to compliance@dominarisecurities.com.

Dominari will contact our banks and lenders to determine if they can continue to provide the financing that we will need in light of an internal or external SBD. The bank maintaining our operating account is Chase. The bank maintaining our Proprietary Account of Introducing Brokers/Dealers (PAIB account) is RBC, and Wedbush. If our banks and other lenders are unable to provide financing, we will seek alternative financing immediately from our parent company, Dominari Holdings Inc.

Communications with Regulators and Regulatory Reporting

Dominari Securities is currently a member of and/or regulated by the following regulators and self-regulatory organizations (SROs): SEC, FINRA, MSRB, SIPC and various states. We communicate with our regulators using telephone, email, U.S. mail, in person and via our regulator's own proprietary systems. In the event of an SBD, we will assess which means of communication are still available to us and use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with them.

We now file reports with our regulators using paper copies in the U.S. mail, and electronically using fax, email, the internet and via the regulator's proprietary websites. In the event of an SBD, we will check with the SEC, FINRA, and other regulators to determine which means of filing are still available to us and use the means closest in speed and form (written or oral) to our previous filing method. If we cannot contact our regulators, we will continue to file required reports using the communication means available to us.

Dominari Securities has included a copy of the written BCP Disclosure Statement as Attachment A in the documents we provide customers at account opening. We also post the disclosure statement on our website and mail or email it to customers upon request. The BCP will be updated periodically to reflect any changes in Dominari's business process and any regulatory rules.

If you have questions about the Dominari Business Continuity Plan, please contact us at (212) 393-4500, 1 (800) 299-7618, or by email at compliance@dominarisecurities.com.

Dominari Securities' Business Continuity Planning (BCP)

Dominari Securities LLC (DS), has developed a Business Continuity Plan (BCP) to establish how we will respond to events that significantly disrupt our business. Since the timing and impact of a disaster and disruption 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 BCP.

Contacting Us – If after a significant business disruption (SBD) you cannot contact us as you usually do at (212) 393-4500, you should call our alternative number (800) 299-7618 or go to our website at https://www.dominarisecurities.com/. If you cannot access us through either of these means, you should contact our clearing firms, Schwab at (800) 435-4000 (https://schwab.com), RBC at (866) 670-2330 (https://rbcclearingandcustody.com/en-us/), or Wedbush at (213) 688-8000 (https://www.wedbush.com/contact-us/), for instructions on how they might provide you with prompt access to your funds and securities, enter orders, process other trade-related or cash or security transfer transactions.

Our Business Continuity Plan – In the event we experience a significant business disruption, Dominari plans to quickly recover and resume business operations by safeguarding our employees and property, assessing our financial and operational capabilities, safeguarding the firm's books and records, and enabling our customers to transact business. In short, our BCP is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the event.

Our BCP addresses the following: data backup and recovery; mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical suppliers, contractors, and bank impacts; regulatory reporting; and assuring our customers have prompt access to their funds and securities if we are unable to continue our business.

Our clearing firms, Schwab, RBC, and Wedbush, back up some of our important records in a geographically separate area. While every emergency 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 firms that their objective is to restore their own operations, be able to complete existing transactions, and accept new transactions and payments within the resumption time period found in their BCPs. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions – SBDs can vary in scope, such as an event that only affects our firm, or a single building housing our firm, or the business district where our firm is located, or the city where we are located, or an entire region. Within each of these areas, the magnitude of the disruption can also vary from minimal to severe. In a disruption affecting only our firm or a building housing our firm, we will transfer our operations to a local site when needed, and we expect to recover and resume business 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 within 12 hours. In either situation, we plan to continue conducting business and will transfer operations to our clearing firm, if necessary. We will notify you through our website (https://www.dominarisecurities.com/) or our office numbers, (800) 299-7618 and (212) 393-4500. If the SBD is so severe that it prevents us from remaining in business, we will ensure our customers’ prompt access to their funds and securities.

For more information – If you have questions about Dominari Securities LLC’s BCP or would like a complete copy of it, you can contact us at (212) 393-4500 or email compliance@dominarisecurities.com.