DISCLOSURE STATEMENTS

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 New Harbor Venture Partners, LLC’s (NHVP’s) Customer Identification Program.

What types of information will I need to provide?

When you open an account, NHVP is required to collect information such as the following:

  • Your name
  • Date of birth
  • Address
  • Identification number
    • US Citizen: taxpayer identification number (social security number or employer identification number)
    • Non-US 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 yourself.

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.

US Department of the Treasury, US 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?

NHVP may not be able to open an account or carry out transactions for you. If NHVP has 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.

SECURITIES INVESTOR PROTECTION CORPORATION (SIPC) INSURANCE COVERAGE

Member of SIPC, which protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). Explanatory brochure available upon request or at www.sipc.org.

BUSINESS CONTINUITY PLANNING

NHVP 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 – If after a significant business disruption you cannot contact us as you usually do at (732) 359-7109, you should call our alternative number at (732) 740-5482 or go to our web site at www.newharborvp.com.

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, most importantly, 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 back up 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 (as applicable) if we are unable to continue our business.

Varying Disruptions – Significant business disruptions can vary in their scope, such as to 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 a local site when needed, and expect to recover and resume business as soon as possible. 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 possible. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities (if applicable).

FINRA WEB SITE

For more information on NHVP and/or your financial representative, visit FINRA’s website (Broker Check) at www.finra.org.

LEGAL DISCLOUSRE

New Harbor Venture Partners, LLC (NHVP) is a registered broker / dealer headquartered at 215 Morris Avenue, Suite 7, Spring Lake, NJ 07762. We are a member of FINRA and SIPC.

No statement within the website should be construed as a recommendation to buy or sell a security or to provide investment advice. The information provided on this site is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject us to any registration requirement within such jurisdiction or country.

Neither NHVP nor its registered representatives are engaged in rendering legal, accounting or tax advice. Any information or service provided by NHVP or its representatives is not to be construed as legal/accounting/tax advice or opinion. NHVP recommends that before acting on any advice or information provided by us or our representatives that you should consult with your attorney or CPA before making any investment decisions.

Links to third-party websites are provided for your convenience. Such sites are not within our control and may not follow the same privacy, security, or accessibility standards as ours. The third party is responsible for the content and availability of its sites, partners, or advertisers.

NHVP does not warrant the accuracy of the materials provided herein, either expressed or implied. NHVP does not guarantee the accuracy or completeness of the information or make any warranties with regard to the results to be obtained from its use. NHVP will not be responsible for any loss or damage that could result from interception by third parties of any information made available to you via this site. Although the information provided to you on this site is obtained or compiled from sources we believe to be reliable, neither NHVP nor any of its affiliates, directors, officers, or employees have any responsibility of any kind for any loss or damage that you incur in the event of failure or interruption or any other use of this site, regardless of cause.

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