Customer Disclosure Statement,
Disaster Recovery Summary
And Privacy Practices Notice of
Mertz Associates, Inc.

Customer Disclosure Statement and Disaster Recovery Summary

Mertz Associates, Inc. plans to quickly recover and resume business operations after a significant business disruption (SBD) and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business.  In short, our company’s business continuity plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD. 

The BCP addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and facilitating prompt access to customer records if we are unable to continue our business.

Significant Business Disruptions: The Company’s plan takes into account two kinds Significant Business Disruptions, internal and external.  Internal SBDs affect only the Company’s ability to communicate and do business, such as a fire or loss of electrical power in the office or building. 

External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.

Internal SBDs: In the event of a disruption in the Company’s business operations due an internal SBD, the Company will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving our operations to an alternative location.

If personnel or operations must be moved to an alternate location, the Company anticipates that it will resume regular operations within 1-2 hours.

External SBDs: In the event of a disruption in the Company’s business operations due to an external SBD, the Company will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the effected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business.

The Company will attempt to resume business within 24-48 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.

In all cases, the Company will resume normal business operations as soon as it is able to do so based on the type and the extent of the disrupting event.

If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their records.

Communications: In the event you are unable to reach the Company at our main number, please proceed as follows:  

• Contact Company principals at the following alternate telephone number:  

                                    Doug Marconnet  262/244-6355 x18
                                    Linda Mertz 414/899-7174

• Contact the issuer directly at the number listed on applicable offering documents.

• Access the Company’s website, www.mertz.com,  for more information.

• Contact FINRA’s District office at the following telephone number for more information on the company’s status and additional instructions: 312-899-4400 

Contact information: Any questions regarding the Company’s Business Continuity Plans should be addressed to: Doug Marconnet, Mertz Associates, Inc., N17W22422 Riverwood Dr., #305, Waukesha, WI  53188 or d.marconnet@mertz.com.      

PRIVACY PRACTICES NOTICE

Mertz Associates, Inc. is committed to protecting the privacy of our customers and former customers. In order to issue and service high quality financial advisory services, we collect personal information about you. We do not sell the information you have entrusted to us to third parties, and we disclose your personal information only as necessary to provide the services you expect from a financial services leader. To help you understand how we protect your personal information, this notice describes our current privacy policy and practices. During the continuation of your relationship with Mertz Associates, Inc., we will advise you of our privacy policy and practices at least once annually, as required by law.
You do not need to take any action as a result of this notice, but you do have certain rights as described below.

We collect information about you, which we may share now or in the future. We do this to help us identify you as our customer or our former customer, to process your requests quickly, to provide advisory services to you or tell you about services we believe you may want and use.

Information we collect includes:

• Information from you – When we begin a business relationship, you may give us information such as your name, title, company name, address, Taxpayer Identification Number, financial records and business plan.

• Information about your transactions – We may keep information about your transactions with our company, for example, our engagement agreement, proposals, your account balances or payment history.

• Information from outside our company – We may also collect other information that may include information from consumer reporting agencies such as your company’s credit history.  It may also include information from other individuals or businesses, such as personal business histories of key managers and directors.

We do not collect medical or health information. 

Mertz Associates, Inc. may share the information described above with companies, broker-dealers and our information technology service providers. These providers require access to information about you to assist us in transactions you have requested and to provide efficient customer services. Our service providers may be affiliated or anaffiliated, and may include financial service providers or non-financial companies and individuals (for example, consultants or vendors).  Please be assured that we require these providers to safeguard your personal information and to use or disclose it only for the work they are performing on our behalf, or as permitted by law.

We may provide information to regulatory authorities and law enforcement officials in accordance with applicable law, or to others when we believe in good faith that the law requires it. In the event of a sale of all or part of one of our businesses, we may share customer information related to that business as part of the transaction.

Mertz Associates, Inc. does not sell or share your information with marketers outside our company who may want to offer you their own products and services. Neither do we share information we receive about you from a consumer-reporting agency. You do not need to take any action for this benefit.

Keeping your information secure is one of our most important responsibilities. We maintain physical, electronic and procedural safeguards to protect your information. Employees are authorized to access your information only when they need it to provide you with products and services or to maintain your accounts.

We want to make sure that we have accurate information about you. Generally, upon written request, we will make your personal information available for your review. Information we have collected in connection with or in anticipation of a claim or legal proceeding will not be made available. If you believe that any of our records are inaccurate, you may notify us in writing of any corrections, amendments or deletions that you believe should be made. Questions about accessing or correcting your personal information should be directed to Mertz Associates, Inc., N17W22422 Riverwood Dr. #305 Waukesha, WI 53188 Attn: Douglas Marconnet. Please describe the information you wish to see or corrections required.