Business Continuity Plan Disclosure Statement

Nassau Street Securities, LLC (“NSS,” “we,” “us,” or “our”)

Last updated: June 26, 2026

NSS has developed a Business Continuity Plan (“BCP”) describing how we will respond to events that significantly disrupt our business. Because the timing and impact of disasters and disruptions are inherently 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 summary of our plan.

This disclosure is provided in accordance with FINRA Rule 4370.

Nature of Our Business and Limited Impact of Disruptions

NSS’s securities business is limited to acting as a placement agent in private placements of securities. NSS does not open, carry, or maintain customer accounts, and does not hold, accept, or maintain custody of customer funds or securities. NSS does not clear or carry transactions, and it does not hold customer cash or securities at any time. Funds and securities relating to a private placement are transmitted directly between the investor and the issuer (or the issuer’s escrow agent, transfer agent, or other independent third party), and not through NSS.

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As a result, the potential impact of a business disruption on customers is minimal. Investors’ funds and securities are not dependent on NSS’s systems or facilities, and investors will continue to have access to their investments through the relevant issuer or its agent regardless of whether NSS experiences a disruption.

Contacting Us

You can always reach us at compliance@nassaustreetsecurities.com. For matters relating to a specific private placement, you may also contact the relevant issuer, its escrow agent, or transfer agent directly using the contact information provided in your offering documents.

Our Business Continuity Plan

Our BCP addresses, to the extent applicable to our limited business: data backup and recovery; mission-critical systems; financial and operational assessments; alternative communications with employees and counterparties; alternate physical locations for personnel; critical business constituent, bank, and counterparty impact; regulatory reporting; and communicating with regulators in the event of a disruption.

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In short, our BCP is designed to permit us to resume operations as quickly as possible, given the scope and severity of the significant business disruption. Because we do not hold customer funds or securities, our recovery efforts focus on restoring our internal operations, our books and records, and our ability to communicate with issuers, investors, counterparties, and regulators.

Varying Disruptions

Significant business disruptions can vary in their scope, affecting 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 region. The severity of a disruption may also vary.

Within each of these areas, the severity of the disruption can also vary. In a disruption affecting only our firm or a building housing our firm, we will transfer operations to an alternate site or to remote operations when needed and expect to resume business promptly. In a disruption affecting our business district, city, or region, we will transfer operations to a site outside of the affected area and recover as quickly as conditions allow. In all cases, because NSS does not hold customer funds or securities, your access to your investments will not depend on NSS’s recovery, and you may continue to contact the relevant issuer or its agent directly.

For More Information

If you have questions about our business continuity planning, you may contact us at compliance@nassaustreetsecurities.com. NSS may modify this plan and this disclosure statement at any time. An updated copy will be made available upon written request and may be posted on our website.