DISCLAIMER and LEGAL
The information, products and services on this web site are provided on an "AS IS," "WHERE IS" and "WHERE AVAILABLE" basis.
Generation Equity Advisors, LLC ("GEA") does not warrant the information or services provided herein or your use of this web site generally,
either expressly or impliedly, for any particular purpose and expressly disclaims any implied warranties, including but not limited to,
warranties of title, non-infringement, merchantability or fitness for a particular purpose. GEA will not be responsible for any loss or damage
that could result from interception by third parties of any information or services made available to you via this web site. Although the
information provided to you on this web site is obtained or compiled from sources we believe to be reliable, GEA cannot and does not
guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particular purpose.
Neither GEA, nor any of its affiliates, directors, officers or employees, nor any third party vendor, will be liable or have any responsibility of any
kind for any loss or damage that you incur in the event of any failure or interruption of this web site, or resulting from the act or omission of
any other party involved in making this web site, the data contained herein or the products or services offered on this web site available to
you, or from any other cause relating to your access to, inability to access, or use of the web site or these materials, whether or not the
circumstances giving rise to such cause may have been within the control of GEA or of any vendor providing software or services. In no event
will GEA or any such parties be liable to you, whether in contract or tort, for any direct, special, indirect, consequential or incidental damages
or any other damages of any kind even if GEA or any other such party has been advised of the possibility thereof. This limitation on liability
includes, but is not limited to, the transmission of any viruses which may infect a user's equipment, failure of mechanical or electronic
equipment or communication lines, telephone or other interconnect problems (e.g., you cannot access your internet service provider),
unauthorized access, theft, operator errors, strikes or other labor problems or any force majeure. GEA cannot and does not guarantee
continuous, uninterrupted or secure access to the web site.
None of the information contained in this web site constitutes a recommendation, solicitation or offer by GEA or its affiliates to buy or sell any
securities, futures, options or other financial instruments of any person or provide any investment advice or service.
Proprietary Rights
All right, title and interest in this web site and any content contained herein is the exclusive property of GEA, except as otherwise stated.
Unless otherwise specified, this web site is for your personal and non-commercial use only and you may print, copy and download any
information or portion of this web site for your personal use only. You may not modify, copy, distribute, transmit, display, perform, reproduce,
publish, license, frame, create derivative works from, transfer, or otherwise use in any other way for commercial or public purposes in whole
or in part any information, software, products or services obtained from this web site, except for the purposes expressly provided herein,
without GEA's prior written approval. If you copy or download any information or software from this web site, you agree that you will not
remove or obscure any copyright or other notices or legends contained in any such information.
Generation Equity Advisors, its logo and other GEA trademarks and service marks referenced herein are trademarks and service marks of
GEA. The names of other companies and third-party products or services mentioned herein may be the trademarks or service marks of their
respective owners. You are prohibited from using any marks for any purpose including, but not limited to use as metatags on other pages or
sites on the World Wide Web without the written permission of GEA or such third party, which may own the marks.
TechMediaMergers, its logo and trademarks are also covered herein.
Use of Links
This web site contains links to third party web sites. These links are provided only as a convenience. The inclusion of any link is not and
does not imply an affiliation, sponsorship, endorsement, approval, investigation, verification or monitoring by GEA of any information
contained in any third party web site. In no event shall GEA be responsible for the information contained on that site or your use of or inability
to use such site. You should also be aware that the terms and conditions of such site and the site's privacy policy may be different from
those applicable to your use of this web site.
Broker Dealer
All investment banking transactions by Generation Equity Advisors LLC are conducted through Lynx Capital LLC, a wholly-owned subsidiary
of Redwood Capital Group. Both Lynx Capital and Redwood Capital Group is regulated by FINRA and is a member of SIPC.
Business Continuity Plan – Disclosure
Pursuant to securities industry regulations, Generation Equity Advisors, LLC., has a business continuity plan in place to address disruptions
to our normal course of business ranging in severity from a building to a regional disruption.
Our firm’s policy is to respond to a Significant Business Disruption (SBD) 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
allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will assure
customers prompt access to their funds and securities.
A. Significant Business Disruptions (SBDs)
Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business,
such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack,
a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems,
especially on the capabilities of our clearing firm.
B. Approval and Execution Authority
Aaron Solganick, President & CEO, is responsible for approving the plan and for conducting the required annual review. Chad Gardiner, Vice
President has the authority to execute this BCP.
C. Plan Location and Access
Our firm will maintain copies of its BCP plan and the annual reviews, and the changes that have been made to it for inspection. An electronic
copy of our plan is available upon request.
We have designed our systems, technology and telephony systems to be easily accessible offsite. The use of an offsite email service
provider, hosting provider and call-forwarding technology allows our employees to operate in any location where there is Internet, phone
and/or mobile access. At the same time, we protect our clients personal and confidential information, as all backup electronic systems are
password protected.
Our plan includes:
In the event of an SBD, we will immediately identify what means will permit us to communicate with our customers, employees, critical
business constituents, critical banks, critical counter-parties and regulators. Although the effects of an SBD will determine the means of
alternative communication, the communications options we will employ will include [our website, telephone voice mail, secure email, etc.].
In addition, we will retrieve our key activity records as described in the section above, Data Back-Up and Recovery (Hard Copy and
Electronic).
We now communicate with our customers using the telephone, email, our website, fax, U.S. mail and in-person visits at our firm, our
customers location, or another location. In the event of an SBD, we will assess which means of communication are still available to us, and
use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party.
For example, if we have communicated with a party by email but the Internet is unavailable, we will call them on the telephone and follow up
where a record is needed with paper copy in the U.S. mail.
We review, update, and test our plan on a regular basis to mitigate all reasonable risk. Plan updates may change this disclosure. Such
changes will be promptly posted on our website and be available in writing by mail.
In the event we need to execute our business continuity plan, you can contact us by email or telephone for further information. Our firms two
emergency contacts are:
Aaron Solganick
President and CEO
1100 Glendon Ave, Ste 1700
Los Angeles, CA 90024
aaron@generationequityadvisors.com
Phone Direct: (310) 465-8940
Chad Gardiner
Vice President
1100 Glendon Ave, Ste 1700
Los Angeles, CA 90024
chad@generationequityadvisors.com
Phone Direct: (310) 909-3441
The information, products and services on this web site are provided on an "AS IS," "WHERE IS" and "WHERE AVAILABLE" basis.
Generation Equity Advisors, LLC ("GEA") does not warrant the information or services provided herein or your use of this web site generally,
either expressly or impliedly, for any particular purpose and expressly disclaims any implied warranties, including but not limited to,
warranties of title, non-infringement, merchantability or fitness for a particular purpose. GEA will not be responsible for any loss or damage
that could result from interception by third parties of any information or services made available to you via this web site. Although the
information provided to you on this web site is obtained or compiled from sources we believe to be reliable, GEA cannot and does not
guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particular purpose.
Neither GEA, nor any of its affiliates, directors, officers or employees, nor any third party vendor, will be liable or have any responsibility of any
kind for any loss or damage that you incur in the event of any failure or interruption of this web site, or resulting from the act or omission of
any other party involved in making this web site, the data contained herein or the products or services offered on this web site available to
you, or from any other cause relating to your access to, inability to access, or use of the web site or these materials, whether or not the
circumstances giving rise to such cause may have been within the control of GEA or of any vendor providing software or services. In no event
will GEA or any such parties be liable to you, whether in contract or tort, for any direct, special, indirect, consequential or incidental damages
or any other damages of any kind even if GEA or any other such party has been advised of the possibility thereof. This limitation on liability
includes, but is not limited to, the transmission of any viruses which may infect a user's equipment, failure of mechanical or electronic
equipment or communication lines, telephone or other interconnect problems (e.g., you cannot access your internet service provider),
unauthorized access, theft, operator errors, strikes or other labor problems or any force majeure. GEA cannot and does not guarantee
continuous, uninterrupted or secure access to the web site.
None of the information contained in this web site constitutes a recommendation, solicitation or offer by GEA or its affiliates to buy or sell any
securities, futures, options or other financial instruments of any person or provide any investment advice or service.
Proprietary Rights
All right, title and interest in this web site and any content contained herein is the exclusive property of GEA, except as otherwise stated.
Unless otherwise specified, this web site is for your personal and non-commercial use only and you may print, copy and download any
information or portion of this web site for your personal use only. You may not modify, copy, distribute, transmit, display, perform, reproduce,
publish, license, frame, create derivative works from, transfer, or otherwise use in any other way for commercial or public purposes in whole
or in part any information, software, products or services obtained from this web site, except for the purposes expressly provided herein,
without GEA's prior written approval. If you copy or download any information or software from this web site, you agree that you will not
remove or obscure any copyright or other notices or legends contained in any such information.
Generation Equity Advisors, its logo and other GEA trademarks and service marks referenced herein are trademarks and service marks of
GEA. The names of other companies and third-party products or services mentioned herein may be the trademarks or service marks of their
respective owners. You are prohibited from using any marks for any purpose including, but not limited to use as metatags on other pages or
sites on the World Wide Web without the written permission of GEA or such third party, which may own the marks.
TechMediaMergers, its logo and trademarks are also covered herein.
Use of Links
This web site contains links to third party web sites. These links are provided only as a convenience. The inclusion of any link is not and
does not imply an affiliation, sponsorship, endorsement, approval, investigation, verification or monitoring by GEA of any information
contained in any third party web site. In no event shall GEA be responsible for the information contained on that site or your use of or inability
to use such site. You should also be aware that the terms and conditions of such site and the site's privacy policy may be different from
those applicable to your use of this web site.
Broker Dealer
All investment banking transactions by Generation Equity Advisors LLC are conducted through Lynx Capital LLC, a wholly-owned subsidiary
of Redwood Capital Group. Both Lynx Capital and Redwood Capital Group is regulated by FINRA and is a member of SIPC.
Business Continuity Plan – Disclosure
Pursuant to securities industry regulations, Generation Equity Advisors, LLC., has a business continuity plan in place to address disruptions
to our normal course of business ranging in severity from a building to a regional disruption.
Our firm’s policy is to respond to a Significant Business Disruption (SBD) 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
allowing our customers to transact business. In the event that we determine we are unable to continue our business, we will assure
customers prompt access to their funds and securities.
A. Significant Business Disruptions (SBDs)
Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our firm’s ability to communicate and do business,
such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack,
a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems,
especially on the capabilities of our clearing firm.
B. Approval and Execution Authority
Aaron Solganick, President & CEO, is responsible for approving the plan and for conducting the required annual review. Chad Gardiner, Vice
President has the authority to execute this BCP.
C. Plan Location and Access
Our firm will maintain copies of its BCP plan and the annual reviews, and the changes that have been made to it for inspection. An electronic
copy of our plan is available upon request.
We have designed our systems, technology and telephony systems to be easily accessible offsite. The use of an offsite email service
provider, hosting provider and call-forwarding technology allows our employees to operate in any location where there is Internet, phone
and/or mobile access. At the same time, we protect our clients personal and confidential information, as all backup electronic systems are
password protected.
Our plan includes:
- off-site hosting and back-up that is on a 24/7 basis where business and technical data is accessible 24/7
- a redundant environment at the recovery site that routinely tests business applications, and
- third party vendors that provide data center recovery and storage of electronic backup and paper documents to meet our recovery
needs.
In the event of an SBD, we will immediately identify what means will permit us to communicate with our customers, employees, critical
business constituents, critical banks, critical counter-parties and regulators. Although the effects of an SBD will determine the means of
alternative communication, the communications options we will employ will include [our website, telephone voice mail, secure email, etc.].
In addition, we will retrieve our key activity records as described in the section above, Data Back-Up and Recovery (Hard Copy and
Electronic).
We now communicate with our customers using the telephone, email, our website, fax, U.S. mail and in-person visits at our firm, our
customers location, or another location. In the event of an SBD, we will assess which means of communication are still available to us, and
use the means closest in speed and form (written or oral) to the means that we have used in the past to communicate with the other party.
For example, if we have communicated with a party by email but the Internet is unavailable, we will call them on the telephone and follow up
where a record is needed with paper copy in the U.S. mail.
We review, update, and test our plan on a regular basis to mitigate all reasonable risk. Plan updates may change this disclosure. Such
changes will be promptly posted on our website and be available in writing by mail.
In the event we need to execute our business continuity plan, you can contact us by email or telephone for further information. Our firms two
emergency contacts are:
Aaron Solganick
President and CEO
1100 Glendon Ave, Ste 1700
Los Angeles, CA 90024
aaron@generationequityadvisors.com
Phone Direct: (310) 465-8940
Chad Gardiner
Vice President
1100 Glendon Ave, Ste 1700
Los Angeles, CA 90024
chad@generationequityadvisors.com
Phone Direct: (310) 909-3441
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