Form CRS and Disclosures

Please be aware that there are risks associated with investing in securities, including possible loss of principal.

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Regulation Best Interest

SEC Rule 606 Reports

Rule 606 Annual Written Notice on Availability of Order Routing Information

Quarterly Reports: Under SEC Rule 606(a), broker-dealers that route equity and option orders on behalf of customers are required to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and option contracts in NMS securities. The reports are made available to the public free of charge for each calendar quarter and published no later than one month after the end of the quarter.

Investor Inquiry: You may request your specific order routing and execution information in writing for the preceding six (6) months from the date of request. Under SEC Rule 606(b)(1), customers can request details on NMS stock and option non-directed orders in NMS securities, including the identity of the venue and the time of execution.

Under SEC Rule 606(b)(3), broker-dealers are required, upon request of a customer who places not-held orders, to provide specific disclosures regarding routing and execution of such orders.

Other Disclosures

Balance Sheet (Rule 17a-5(c) reporting)

Business Continuity Plan

We maintain a business continuity/emergency preparedness plan to assure that, among other things, that your account information and your account assets will be protected in the case of some emergency or significant business interruption that affects our facilities, systems, or staff. Our goal is to ensure that your account will not be negatively affected by any firm-wide, building, city-wide, or regional disruption.

In the case of any significant business disruption, we plan to stay in business, and our expectation is that we will be able to resume business within four hours. We have arrangements for alternate physical and backup facilities in the case of any business disruption. Backup for your account information is conducted on a daily and ongoing basis.

Our existing telephone numbers will ring through to telephones at our alternate locations. If necessary, we will also post alternate telephone numbers on our website, www.slreed.com.

National Financial Services, LLC, provides clearing services for S.L. Reed. In the case of any significant business disruption, NFS can provide such services as account inquiry, custody, trading, transfers, and money movement for your account. You may also view your NFS custodied accounts at www.wealthscapeinvestor.com.

A full copy of our business continuity plan can be obtained by calling our offices at (310) 893-3030.