Background
From June 1997 to June 2006, Second Street provided independent research and brokerage services to Institutional Investors, Hedge Funds, and Registered Investment Advisors on a fully disclosed basis. The Firm sold its soft-dollar business and certain other brokerage services in 2006 to an outside entity.

Since June 2006, Second Street has enabled Advent users to have the ability to plug-in their solutions to the broker dealer of their choice. As a captive broker-dealer of Advent, Second Street accepts no new customers.

Anti Money Laundering Notice
Federal law requires all financial organizations to obtain, verify, and record information that identifies each person who opens an account. When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask you to provide documentation that establishes your identity. Such documents often include a passport or resident card; or a driver's license or ID card and a social security card or birth certificate. Other documents have also been deemed acceptable in establishing identity. The information you provide may also be used to perform OFAC checks, credit checks, third party vendor checks, and identification checks using other internal sources.

Disclosure of Business Continuity Plan
Second Street Securities, Inc. 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 - In the event of a significant business disruption, should you wish to contact us through telephone you may call the current number 818-657-0288 or you may communicate via email at secondstreetdave@rndcompliance.com.

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 employees and regulators; alternate physical location of employees; critical bank impact; and regulatory reporting.

In a disaster situation, Customers should contact the broker dealer or clearing firm through which they have accounts. (For example, Customers who have accounts through SunGard can call their main phone number 781-275-7444 to be routed to the best location to place orders or to liquidate positions.) You may call 818-657-0288 or email secondstreetdave@rndcompliance.com to inquire about other contacts.

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 a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one business day. 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 three business days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you of special instructions.

For more information - If you have questions about our business continuity planning, please contact us via e-mail at secondstreetdave@rndcompliance.com or please call 818-657-0288.

Disclosures
In accordance with the Public Disclosure Program (PDP), you may visit www.finra.org (click on - finra broker check) to get information about second street securities, inc, including registration/licensure status, conduct and disclosure from regulatory agencies.

"This notification is for informational purposes and does not require any action on your part.

FINRA Rule 2266 and NYSE Rule 409A Second Street Securities ("SSS") is a member of the Securities Investor Protection Corporation ("SIPC"). FINRA Rule 2266 require SSS to disclose SIPC Contact Information.

SIPC plays an important role in the overall system of investor protection in the United States by, in certain specified situations, restoring funds to investors with assets in the hands of bankrupt and otherwise financially troubled brokerage firms. When a brokerage firm is closed due to bankruptcy or other financial difficulties and customer assets are missing, SIPC steps in as quickly as possible and, within certain limits, works to return customers' cash, stock, and other securities.

You may obtain more information about SIPC, including a brochure entitled How SIPC Protects You, by contacting SIPC at: Securities Investor Protection Corporation 1667 K Street, N.W. Suite 1000 Washington, D.C. 20006 Phone: (202) 371-8300 Email: asksipc@sipc.org You may also visit SIPC's website at www.sipc.org.

FINRA Regulation Public Disclosure Program SSS is required by FINRA Rules to provide you with information about the availability of information through FINRA's Public Disclosure Program. The investor brochure may be obtained via the FINRA Web Site at www.finra.org or through the FINRA Public Disclosure Program Hotline Number at (800) 289-9999.

FINRA Rule 2261 Disclosure of Financial Condition to Customers SSS will make available, upon request, a statement of financial condition as disclosed in its most recent balance sheet prepared either in accordance with the Firm's usual practice or as required by any state or federal securities laws, or any rule or regulation thereunder."

Second Street's Privacy Policy

Contact Information
Second Street Securities, Inc.
340 N Westlake Blvd, Unit 160
Westlake Village, CA 91362
818.657.0288; 818.657.0299 Fax

Dave Banerjee
General Securities Principal, Financial & Operations Principal
secondstreetdave@rndcompliance.com