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January 2023 – Q3 2022 Industry Research

Banking products and services are offered by Citizens Bank, N.A., Member FDIC. Securities products and services are offered through Citizens JMP Securities, LLC (CJMPS), Member FINRA, SIPC. Citizens Capital Markets, JMP Securities, DH Capital and Trinity Capital are brand names of Citizens Financial Group, Inc. CJMPS has a Business Continuity Plan that is designed to mitigate business disruption in varying degrees of severity. The firm's intent is to continue business should a localized event take place. CJMPS has personnel in several areas of the country. Should a disruption occur that would impede the operations of any one office, the personnel in that office would be relocated to another, unaffected office. The plan is designed to restore business operations within 24 hours should a disruption occur at a localized level. Should a larger disruption occur, CJMPS will evaluate the alternatives available within the wider Citizens Financial Group, Inc. resource pool to serve our clients via the most immediate means possible. A summary of the referenced Business Continuity Plan is available upon request.