Hampton Securities Limited

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Business Continuity Hampton Securities (USA), Inc. has developed a business continuity plan detailing how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will be flexible in responding to actual events as they occur. With that in mind, we are providing you with this general overview of our business continuity plan.

Management Team As an independent investment dealer dedicated to providing unbiased investment solutions, combined with unparalleled service, our Management Team shares these values. Hampton Securities’ private client group is run by retail people – entrepreneurial and experienced professionals. Our lean, flat organizational structure ensures that decision-making is proactive, transparent and open. All of our investment advisors provide input and recommend solutions they believe in, while providing a high level of service that each individual client deserves.

With over 30 years of experience delivering investment advice, Cliff’s objective is to provide a high level of personal service tailored to clients’ unique circumstances, values and goals. Cliff’s early career featured managerial roles McLeod Young Weir, Dominick & Dominick and Davidson & Partners Ltd., covering a wide variety of specialized services including internal audit, sales liaisons and legal/sales assistant. Appointed Financial Advisor in 1987, Mr.

Company History Hampton Securities was founded in 1996. From its roots in investment banking, a network of trusted business associates, institutions and families soon inspired the Firm to include private client wealth management as a key component of its service offering. Today, Hampton Securities serves a steadily increasing number of institutional and private clients and employs over 40 advisors or associates. Hampton enjoys a strong partnership with National Bank of Canada, which acts as custodian of our clients' assets, assuring them safekeeping and peace of mind.

Hampton Securities provides international trade execution services, along with idea generation, to institutional investors. These include international fund managers, banks, insurance companies, pension funds, hedge funds and mutual funds. As an independent investment dealer, the Institutional team at Hampton is committed to providing guidance and execution services to corporate, institutional and accredited individual clients.

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