Invex, LLC’s Business Continuity Plan Disclosure.

Invex, 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.

  1. Contacting Us - If after a significant business disruption you cannot contact us as you usually do at (786) 425-1717 and/or at invexinc@invex.us, you should call our alternative number (s) (786) 239-6167 or (305) 302-4727. If you cannot access us through either of those means, you should contact our clearing firm Pershing LLC., via facsimile at 201-413-5368 or via postal service at P.O. Box 2065 Jersey City NJ. 07303-2065 by sending their written instructions for the following transactions “ONLY”:

    • Sale of long securities held in the account or Buy of securities to close short positions. All orders will be handled as Market Orders. (Instructions must include Client account Number, Client Name, Security Description including CUSIP or symbol, Number of Shares).

    • Cash disbursements upon receipt of signed written instructions (Instructions must include Client Account Number, Client Name, Exact Amount to be disbursed, method of disbursement: if Check mailed to the name and address of record, if Federal Funds indicate Receiving Bank Name, ABA Number, and Receiving Bank Account Number. *Account Names must be Identical.)

    • Securities Transfers. (Instructions must include Client Account Number, Client Name, Security Description including CUSIP or symbol, Quantity to be Transferred, Receiving Account Information: if at Pershing provide Receiving Account Number, if to another financial organization Name of Receiving Financial Organization, DTC Number and Name of Receiving Account Name. *Account Names must be Identical.)

NOTE: Please note that this fax number is for business interruption-related issues ONLY, and should not be used for any other purposes, such as change of address notices, account transfers, and credit verification. Information received on this fax that is unrelated to business interruption issues will not be acted upon.

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 for 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.

Pershing LLC backs up their important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and severity of the disruption, our clearing firm has advised us that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments however, your orders and requests for funds and securities could be delayed for a short time of 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 building, we will transfer our operations to an alternate local site and expect to resume business within the next two hours. In a disruption affecting the whole city or region we will rely on our clearing agent and on our parent company to recover and resume business as soon as possible. In either situation, we plan to continue in business, transfer our operations to our clearing firm if necessary, and notify you through invex.com website or our firm emergency numbers (786) 239-6167 or (305) 302-4727 how to contact us. You can also contact Philippe Doucet at Invex Casa de Bolsa for further information. In the remote possibility that the business disruption is so severe that we cannot resume operations, we will assure our customer’s prompt access to their funds and securities.

For more Information – If you have questions about our business continuity plan, you can contact us at:

Invex, LLC
2 Alhambra Plaza Suite PH II
Miami, FL 33134
(786) 425-1717
invexinc@invex.us

Sincerely, Invex, LLC.