Business Continuity Plan (BCP)

MAINLINE WEST MUNICIPAL SECURITIES, LLC

Mainline West Municipal Securities, LLC (referred to herein as “Mainline West Municipal Securities,” the “Broker Dealer,” “Company,” the “Firm,” “we,” “us” or “our”), a Colorado limited liability company, is a broker/dealer registered with the Securities and Exchange Commission (The “SEC”) under The Securities Exchange Act of 1934 (“The Act”), as well as with the Financial Industry Regulatory Authority (the “FINRA”). The Firm has one location in Denver, Colorado. This location is the designated Office of Supervisory Jurisdiction. The Firm conducts three types of business as a broker dealer. Mr. Bradley Kreidle is President and Founder. Mr. Anthony Caselli serves as Chief Compliance Officer.

The Firm has developed a Business Continuity Plan with respect to 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. For additional information in connection with our policies and procedures please contact us.

Contacting Us – Mainline West Municipal Securities conducts three types of business as a broker dealer. Specifically, the Company has a limited business model and conducts business in the following capacities:

Acts as a municipal securities dealer
Trading securities for its own account
Acts as a placement agent or finder to raise capital for private pooled investment funds managed by an affiliate, Mainline West Fund Manager LLC (“Mainline West Fund Manager”), which also serves as manager to the funds or pooled investment vehicles (collectively, the “Funds”)

Towards this end, some of the investments that we recommend are interests in funds. The funds will invest in various investment interests. These interests are unregistered and offered on a best-efforts basis under Regulation D. The offering of interests is made by the delivery of a Private Placement Memoranda (PPM) or other similar governing agreements/subscription documents. Offerings will only be made to investors who meet the definition of accredited investor. As a provider of such services, the Company maintains and preserves such books and records pertaining thereto pursuant to the requirements of Rule 17a-3 and 17a-4, as are customarily made and kept by a limited scope broker or dealer.

Furthermore, the types of Clients to which Mainline West Municipal Securities provides investment management services are more fully disclosed in Mainline West Municipal Securities’ Form ADV Part 3 and summarized in it Form BD. We require that Clients utilize the custody, brokerage and clearing services of a Custodian (the “Custodian”) for investment management accounts.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our financial advisors, employees and property, making a financial and operational assessment, protecting the Firm’s books and records, and allowing our clients 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; operational assessments; alternative communications with customers, financial advisors, employees, and regulators; alternate physical location of employees; critical supplier impact; regulatory reporting; and assuring our customers prompt access to their securities if we are unable to continue our business.

Customers’ Access to Funds and Securities – Our recommended Custodians are independent and unaffiliated broker-dealer(s) registered with the SEC specifically as a broker-dealer member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities Investor Protection Corporation (“SIPC”). Our clearing broker-dealer (Hilltop Securities, Inc.) 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 broker-dealer that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within twenty-four hours. Your orders and requests for funds and securities could be delayed during this period. Click here to review Hilltop Securities’ business continuity plan and other important information about their client security policies. We are independently owned and operated and not affiliated with any custodian. Each custodian, as a provider of such services clears all transactions with and for customers on a fully disclosed basis and maintains and preserves such books and records pertaining thereto pursuant to the requirements of Rule 17a-3 and 17a-4, as are customarily made and kept by a clearing broker or dealer. If after a significant business disruption, you cannot contact us as you usually do by phone at (720) 536-3380, call our alternative numbers and/or (303) 883-2242. We will assist you in gaining access to your funds or securities. You may also visit our website at www.mainlinewest.net.

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our Firm, 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 either situation, we plan to continue in business and notify you through our website https://www.mainlinewest.net/. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our clients prompt access to their account information.

Emergency Contact Persons – Our firm’s emergency contact persons are Mr. Bradley Kreidle and Mr. Anthony Caselli. These names will be updated in the event of a material change.

For more information – If you have questions about our business continuity planning, you can contact us at is (720) 536-3380.

1 The Firm was approved for registration with the Financial Industry Regulatory Authority on December 3, 2008, as a Broker Dealer.

2 The Funds will invest in various investment interests. These interests or units are unregistered and offered only to persons who are both “Accredited Investors” as defined in Rule 501 of Regulation D under the Securities Act of 1933 and “Qualified Purchasers” as defined in Section 2(a)(51) of the Investment Company Act of 1940 and the rules issued thereunder. The offering of interests is made by the delivery of a Private Placement Memoranda (PPM) or other similar governing agreements documents. Offerings will only be made to investors who meet the definition of “Accredited Investors” and “Qualified Purchasers”. The minimum amount required to be invested varies for each Fund and is detailed in each PPM.