Disclosures

Business Continuity Plan (BCP)

Bay Crest Partners, LLC has established a Business Continuity Plan (BCP) which is consistent with regulatory requirements and supports business activities in the event of natural or man-made disasters that may disrupt our normal business processes. Our BCP accounts for a variety of Significant Business Disruption’s (SBD) and memorializes the actions Bay Crest Partners, LLC would take in the event of SBD’s. Exercises are conducted annually, and as necessary, to test our strategies and systems.

After an initial disruption assessment, the BCP would be executed. While we expect to continue conducting business and resuming operations with minimal impact, recovery time will be dependent on the extent of the disruptions to our systems and physical structures.

If after an SBD you cannot contact us at (212) 480-1400, you should call our alternative number (718) 791-3322 or go to our website at www.baycrestpartners.com.

Bank of America Merrill Lynch has provided us with a summary of its BCP, will advise us of any material changes to the plan that may affect our business, and will notify us in the event they execute their BCP. Bank of America Merrill Lynch represents that it backs up our records at a remote site, with a backup facility in a geographically separate area.

For more information, or if you would like a copy of our Business Continuity Plan, please contact us at (212) 480-1400 or lcarbonara@baycrestpartners.com.

SEC Rule 606

The report can be reviewed by accessing the following link: SEC Rule 606 Order Disclosure

The firm may receive remuneration for directing orders to a particular broker or dealer, through which your transaction is executed. Such remuneration is considered compensation to us and the source and amount of any compensation will be disclosed upon request. The firm receives standard fee credits for placing liquidity orders with exchanges, ECNs and ATSs.

FINRA Broker Check

The FINRA Broker Check (Public Disclosure) Program allows the public to obtain current regulatory information about FINRA member firms and registered representatives. You can obtain more information by visiting: FINRA BrokerCheck

Privacy

At Bay Crest Partners, LLC, we recognize the importance of protecting your privacy and we have policies in place to maintain the confidentiality and security of your personal information. Our privacy policy is designed to help you understand what information we collect from you and how we use that information to serve your account.

We collect nonpublic, personal information about you from the following sources:

• Our interaction with you on the telephone, in person or through e-mail or instant messaging
• Account applications or other forms you complete
• Transactions in your accounts or on your behalf
• Trading tools or other information tools we may make available to you
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We do not disclose any nonpublic, personal information about our customers or former customers to anyone, except as permitted by law.

Disclaimer

All information and content on www.baycrestpartners.com is subject to applicable statutes and regulations, furnished "as is", without warranty of any kind, express or implied, including but not limited to implied warranties of merchantability, fitness for a particular purpose, or non-infringement.

Bay Crest Partners, LLC makes no warranty as to content, and accepts no responsibility to update any data available on this Web site. The data provided by us and our third party providers are on an "AS IS" basis at your sole risk. Bay Crest Partners, LLC expressly disclaims any implied warranty of merchantability or fitness for a particular purpose, including any warranty for the use or the results of the use of the data with respect to correctness, quality, accuracy, completeness, reliability, performance, timeliness, or continued availability. Availability of data and services are subject to change without notice.

Bay Crest Partners, LLC has no liability, contingent or otherwise, to any user or to third parties, or any responsibility whatsoever, for the failure of any connection or communication service to provide or maintain access to this service, or for any interruption or disruption of such access or any erroneous communication between Bay Crest and user, regardless of whether the connection or communication service is provided by Bay Crest or a third party service provider. Bay Crest has no liability, contingent or otherwise, to users or to third parties, for the correctness, quality, accuracy, timeliness, reliability, performance, continued availability, completeness or delays, omissions, or interruptions in the delivery of the data and services available on this Web site or for any other aspect of the performance of this service.

This Web site may provide links to certain Internet sites (the "Sites") sponsored and maintained by third parties. Bay Crest is providing such links solely as a convenience to users. Accordingly, we make no representations concerning the content of the Sites. The fact that a link to a Site provided, does not constitute an endorsement, authorization, sponsorship, or affiliation by Bay Crest Partners, LLC with respect to the Site, its owners, or its providers. We have not tested any information, software, or products found on any of the Sites and therefore we do not make any representations with respect thereto, including any representations regarding the content or sponsors of the Site, or the suitability or appropriateness of the products or transactions described therein.

ISE Disclaimer

When handling an order of 500 contracts or more on your behalf, Bay Crest Partners LLC may solicit other parties to execute against your order and may thereafter execute your order using the International Securities Exchange's or ISE Gemini Exchange's Solicited Order Mechanism. This functionality provides a single-price execution only, so that your entire order may receive a better price after being exposed to the Exchange's participants, but will not receive partial price improvement. For further details on the operation of this Mechanism, please refer to International Securities Exchange and ISE Gemini Rule 716(e).

Options Disclosure Document

https://www.theocc.com/getmedia/a151a9ae-d784-4a15-bdeb-23a029f50b70/riskstoc.pdf