Privacy Statement We collect nonpublic personal information about you from the following sources: Information from your application or other forms and information we may receive from consumer reporting agencies. We do not disclose any nonpublic personal information about our customers or former customers to anyone, except as permitted by law. We restrict access to your personal and account information to those registrants and employees who need to know that information to provide products and services to you. We maintain physical, electronic, and procedural safeguards to guard your nonpublic personal information. Please see the full text of our Privacy Policy.

Business Continuity During times of local or national emergencies, the office may be closed and every attempt to return to normal business operations will be made. Our Business Continuity Plan addresses varying degrees of business disruption. If after a significant business disruption you cannot contact us as you usually do at the New Canaan, CT office for Mr. Darryl Glatthorn 203-222-7400 or his alternative number 203-858-7172 or dglatthorn@equusfc.com. For our Marblehead, MA office for Mr. DellaCamera 781-990-3024 or his alternative number 781-844-5742 or tom@libertylanecap.com. We do not have a clearing firm. Our Business Continuity Plan is subject to modification and will be updated annually and whenever necessary. If a customer would like to receive a copy of our plan, please send a written request to Equus Financial Consulting, Attn: Compliance Department, 78 Pine St., Suite 101, New Canaan, CT 06840.

Customer Identification Program Important Information About Procedures for Establishing a Client Relationship: To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person or entity who establishes a relationship with our firm. What this means for you: When you become a customer or establish a relationship with us, we will ask for your name, address, date of birth, entity formation place/date, operating agreement, audited financials and other information that will allow us to identify you.

FINRA BrokerCheck FINRA BrokerCheck allows investors to learn about the professional background, business practices, and conduct of FINRA member firms or their registered representatives. The telephone number of FINRA BrokerCheck is 800-289-9999, the website address http://www.FINRA.org. A client/investor brochure is also available upon request.

Complaints Complaints regarding your account may be directed to Equus Financial Consulting LLC, Attn: Compliance Department, 78 Pine St., Suite 101, New Canaan, CT 06840, telephone 203-222-7400.

FINRA Rule 2261 Disclosure of Financial Condition to Customers Upon written request the firm will provide a copy of its audited financials to any customer that requests it. Please send your request to Equus Financial Consulting, Attn: Compliance Department, 78 Pine St., Suite 101, New Canaan, CT 06840.

FINRA Rule 2266 You may obtain more information about the Securities Investor Protection Corporation by requesting a SIPC brochure. SIPC’s website is www.sipc.org and the telephone number is 202-371-8300. (revised 11/16)

PRIVACY NOTICE

Equus Financial Consulting LLC Privacy Policy November 2016

This Privacy Policy sets forth the manner in which Equus may collect, utilize and maintain nonpublic information about customers, as required under federal and other applicable law. Equus is committed to protecting privacy and maintaining the confidentiality and security of a customer’s personal information. As noted above, this Privacy Policy only applies to products and services provided by Equus to individuals which are used for personal, family or household purposes (not business purposes).

Collection of Customer Information

Equus may collect personal information about customers from the following sources:

• Customer questionnaires and other information provided by the customer in writing, in person, by telephone, electronically or by any other means. This information may include name, address, employment information and financial and investment qualifications as applicable;
• Information about customers from financial institutions and service providers with whom a customer may have authorized to provide such information to Equus;
• Transactions in a customer’s account, including account balances, investments, contributions and withdrawals; and
• Verification services and consumer reporting agencies, including a customer’s creditworthiness or credit history, as applicable.

Disclosure of Nonpublic Personal Information

Equus does not disclose nonpublic personal information about customers or potential customer to affiliates or nonaffiliated third parties except as permitted by law. For example, Equus may share nonpublic personal information about customers, without the customer’s consent, with affiliated and nonaffiliated parties in the following situations, among others:

• In connection  with the administration and operations of Equus and other of Equus’ products and services, with Equus’ brokers, attorneys, accountants, auditors, administrators or other service providers;
• To respond to a subpoena or court order, judicial process or regulatory inquiry;
• In connection with a proposed or actual sale, merger or transfer of all or a portion of its business;
• To protect or defend against fraud, unauthorized transactions (such as money laundering), lawsuits, claims or other liabilities;
• To respond to requests for information regarding compliance with anti-money laundering laws;
• Upon consent of a customer to release such information, including authorization to disclose such information to persons acting in a fiduciary or representative capacity on behalf of the customer; and
• To assist Equus in offering affiliated products and services to customers.

As indicated above, the foregoing may include responses to inquiries for purposes of compliance with anti-money laundering and ant-terrorist due diligence, disclosure or reporting requirements. Equus also may share nonpublic personal information about customers at customer direction or with customer consent.

Former and Prospective Customers This same Privacy Policy applies to former and prospective customers.

Protection of Subscriber Information

Equus maintains physical, electronic, and procedural safeguards that comply with federal standards to protect customer information. Equus restricts access to the personal and account information of customers to those registrants and employees who need to know that information in the course of their job responsibilities. When disposing of records containing customer information our registrants and employees are trained to use an electronic shredder.

Further Information Equus reserves the right to change its Privacy Policy at any time. The examples contained within this Policy are illustrations and are not intended to be exclusive. Equus’ Privacy Policy complies with federal law regarding privacy. Customers may have additional rights under other domestic or foreign laws that may apply.

Equus Financial Consulting LLC

Business Continuity Planning 4370(e) Disclosure November 2016

Equus Financial Consulting LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our 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 occur.  With that in mind, we are providing you with information on our business continuity plan.

Contacting Us If after a significant business disruption, you cannot contact us as you usually do at the New Canaan, CT office for Mr. Darryl Glatthorn 203-222-7400 or his alternative number 203-858-7172 or dglatthorn@equusfc.com . For our Marblehead, MA office for Mr. DellaCamera 781-990-3024 or his alternative number 781-844-5742 or tom@libertylanecap.com We do not have a clearing firm. Our Business Continuity Plan is subject to modification and will be updated annually and whenever necessary. If a customer would like to receive a copy of our plan please send a written request to Equus Financial Consulting, Attn: Compliance Department, 78 Pine St., Suite 101, New Canaan, CT 06840.

Our Business Continuity Plan We plan to quickly recover and resume business operations after a significant business disruption 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 business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan 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, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption the objective is to restore its operations and be able to complete existing transactions and accept new transactions within one to two days.

Varying Disruptions Significant business disruptions can vary in their scope, such as 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.  In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within one day.  In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area and recover and resume business within one to two days.  In either situation, we plan to continue in business as quickly as possible and transfer operations to an alternative location.

For more information If you have questions about our business continuity planning or would like to receive a copy you can contact us at Equus Financial Consulting LLC, 78 Pine St., Suite 101, New Canaan, CT 06840.

Securities Offered Through Equus Financial Consulting LLC Member FINRA/SIPC – https://brokercheck.finra.org/ 

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