Regulatory Disclosure

Regulatory Matters

Devon Park Advisors, LLC provides independent financial advice in the United States through its registered broker-dealer, Devon Park Securities, LLC. Devon Park Securities, LLC is registered with the Securities and Exchange Commission (“SEC”) and is a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”) and the Securities Investor Protection Corporation (“SIPC”). Devon Park Advisors, LLC and Devon Park Securities, LLC (collectively “Devon Park”)

Devon Park is not utilizing this Site to provide investment or other advice, and no information or material at this Site is to be deemed a recommendation to buy or sell any securities or is to be relied upon for the purpose of making or communicating investment or other decisions. Any transactions listed on this Site are included as representative transactions and are not necessarily reflective of overall performance. The information provided herein is not directed at any investor or category of investors and is provided solely as general information about our products and services and to otherwise provide general investment education. Past performance is not indicative of future results. All securities involve risk and may result in significant loss.

Customer Relationship Summary

Devon Park Securities, LLC, on behalf of its company and private fund clients, offers investments in those companies and funds to corporate and institutional investors. Such investors maintain investment discretion. At times we offer investment opportunities to sophisticated retail investors, including private placement or private fund investments. Please see our Customer Relationship Summary for further information regarding our services, fees and business.

Customer Complaint Notice Disclosure Statement – SEC Rule 17a-3(a)(18)(ii)

Devon Park Securities, LLC, in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide you with a name, telephone number and address, if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact our Chief Compliance Officer immediately at:

Devon Park Securities, LLC
12012 South Shore Blvd., Suite 201
Wellington, FL 33414
Attn: Chief Compliance Officer

Business Continuity Plan

Devon Park has developed a Business Continuity Plan (“BCP”) to manage and mitigate the impact of events that have the potential to significantly disrupt 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 transpire. The BCP is designed to enable us to recover and return to business operations as quickly as possible.

In the event of a significant business disruption, we will assess which means of communication are still available to us and communicate accordingly with clients, where necessary. If you cannot communicate with us as you usually do, you should contact us at info@devonparkadvisors.com.

We believe that we have implemented reasonable measures to quickly resume business operations after a significant business disruption and safeguard our employees, property, and books and records. The BCP addresses data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, bank, and counter-party impact; and regulatory reporting.

Significant business disruptions can vary in their scope, such as 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 whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. We plan to mitigate the impact of a disruption through a combination of data redundancy and remote computing. However, in the event of a business disruption, Devon Park cannot guarantee that it will be able to continue or resume business operations within any specified period of time.

If you have questions about the BCP, you can contact us at (561) 629-1700 or through our website www.devonparkadvisors.com.

Links to Other Sites

Links to non-Devon Park websites are provided solely for informational and/or educational purposes.  They are not intended to provide tax, legal, or investment advice, and should not be construed as an offer to buy or sell, a solicitation of an offer to buy, or a recommendation for any security by Devon Park or any third-party provider. By clicking on any third-party hyperlink, you will leave the Devon Park site.  Devon Park has not been involved in the preparation of the content from third-party providers.  Devon Park makes no warranties, either express or implied, concerning the content of such site, including the accuracy, timeliness, completeness, reliability, or suitability thereof for any particular purpose.  Links to other sites, publications or services do not imply an endorsement, authorization, sponsorship or responsibility for the opinions, ideas, products, information, or services offered at such sites unless expressly stated by Devon Park.  Devon Park reserves the right to terminate any hyperlink at any time.