DISCLOSURES

The web site (“AriaCapital.com” or the “Site”), located at www.ariacapital.com, is owned and operated by Aria Capital Advisors, LLC.  Any reference to “Aria,” “Aria Capital,” “Aria Capital Advisors,” “we,” “us,” “the firm” or “our” in these Disclosures shall mean Aria Capital Advisors, LLC.  The Site includes all web pages accessible by the public.  Any reference to “you” in these Disclosures shall mean any user of the Site, including without limitation employees of Aria Capital Advisors, LLC.  Please note that these Disclosures apply only to Aria Capital Advisors, LLC and not to other organizations or websites to which we may reference or link.

BUSINESS CONTINUITY PLAN

Aria Capital Advisors, LLC provides only investment banking advisory services.  Since Aria Capital Advisors, LLC’s provides only these financial advisory services, the firm does not accept, hold, or transfer customer funds or securities, extend credit, or engage in trading securities on its own or its clients’ behalf.  As the firm’s business is purely advisory in nature and does not engage in trading securities, there is no clearing relationship.

Aria Capital Advisors, LLC’s policy is to respond to a Significant Business Disruption by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records and continuing to conduct its business.

This plan contemplates two kinds of Significant Business Disruptions (SBD), internal and external.  Internal SBDs affect only a single location’s ability to communicate and do business, for example, a fire in an office building.  External SBDs prevent the operation of the securities markets or a number of firms; for example, a significant epidemic or a pandemic, including an influenza pandemic, a terrorist attack, a city flood, or a wide-scale, regional disruption.  Response to an external SBD would be very similar to that for an internal SBD since Aria Capital Advisors, LLC does not trade securities and, therefore, does not rely on other organizations (such as clearing firms) to accomplish its work.

Aria Capital Advisors, LLC has access to technology to enable its employees to work with flexibility and effectiveness from remote locations.  Thus, in the event of an SBD that results in the loss of a particular facility, Aria Capital Advisors, LLC employees and independent contractors have the ability to work from remote locations (i.e., homes, temporary office space, hotels, etc.).

Aria Capital Advisors, LLC Electronic data is managed, replicated and backed up offsite at a secure facility containing redundant power and cooling to sustain operations.  Aria Capital backs up its electronic records daily.  In the event of an internal or external SBD and the primary location is inoperable, the firm will continue operations from its backup site or an alternate location.  For the loss of electronic records, Aria Capital Advisors, LLC will recover data from its backup site.

In the event of a SBD, Aria Capital Advisors, LLC will immediately identify how to communicate with its customers, employees, critical business constituents and regulators.  Although the effects of an SBD will determine the means of alternative communication, the communications options Aria Capital Advisors, LLC will employ will include telephone voice mail, secure e-mail, etc.  Aria Capital Advisors, LLC will also post contact information on its website.

PATRIOT ACT

Under Section 326 of the USA PATRIOT Act, Aria Capital Advisors, LLC is required to verify the identity of its clients.  Aria Capital Advisors, LLC utilizes the services of outside vendors, such as Dun & Bradstreet, to assist with this government-mandated requirement.

REGULATORY INFORMATION

Investment banking services are provided by Aria Capital Advisors, LLC.  Aria Capital Advisors, LLC is a Florida Limited Liability company, an SEC-registered broker-dealer, and member of FINRA and SIPC.

As an aid to the education and protection of the investing public, FINRA operates a toll-free information hotline and an Internet website to disseminate information regarding the disciplinary history of FINRA members and their associated persons. Clients who wish to obtain a brochure which describes the FINRA Broker Check Program should contact FINRA through the hotline or via the Internet.

  • Call the Broker Check Hotline at +1-800-289-9999. The hotline is open Monday through Friday, 8:00 am to 8:00 pm.
  • Email FINRA through the broker check portal.
  • Visit the Website: The Broker Check Program can be accessed through the Internet at www.finra.com.

EQUAL EMPLOYMENT OPPORTUNITY

Aria Capital Advisors, LLC is committed to principles of equal employment opportunity for all employees and applicants and, in accordance with applicable laws, does not discriminate on the basis of sex, race, color, religion, national origin, ancestry, age, marital status, disability, medical condition, sexual orientation, or on any other basis prohibited by law.

CONTACT US

If you have any questions on this policy, please notify us at Aria Capital Advisors, LLC 475 Central Avenue, Suite M1, St. Petersburg, FL 33701; email: info@ariacapital.com; and facsimile: +1 (727) 561-0990.

POLICY CHANGES

We reserve the right to change our Disclosures at any time.