Regulatory Disclosures

01FINRA BrokerCheck

FINRA BrokerCheck is a free public tool for researching the professional backgrounds of broker-dealers and their registered representatives. It reports registration status, licences, employment history, and any regulatory actions, customer complaints or arbitrations.

• Plural Brokerage LLC on BrokerCheck (CRD No. 312549)
• BrokerCheck Hotline: (800) 289-9999

An investor brochure describing BrokerCheck is available fromFINRA on request.

02Customer Relationship Summary

Form CRS (Exchange Act Rule 17a-14) is a short relationship summary setting out the firm's services, the fees you pay, its conflicts of interest, its standard of conduct and its disciplinary history. The firm's current summary is dated 11 May 2026.

03Business Continuity

FINRA Rule 4370 requires each member firm to create, maintain and annually review a business continuity plan addressing how it will respond to a significant business disruption, and to disclose a summary of that plan.

Read the business continuity plan disclosure. A current written copy is available on request.

04Customer Complaints

Complaints may be submitted to the firm in writing. The firm records each complaint, reports it as required under FINRA Rule 4530, and responds in writing. Please include your name, contact details, the offering or account concerned, and a description of the issue.

05Privacy and Regulation S-P

Regulation S-P and the Gramm-Leach-Bliley Act govern how a broker-dealer collects, uses, shares and safeguards non-public personal information. The firm does not maintain a separate notice; the Plural privacy policy covers the firm's handling of that information, including the Gramm-Leach-Bliley disclosures.

06Anti-Money Laundering and Customer Identification

The firm maintains an anti-money laundering compliance programme under FINRA Rule 3310 and the Bank Secrecy Act, including a written programme, a designated AML compliance officer, independent testing, ongoing training and suspicious activity monitoring.

07Customer Funds, Securities and Net Capital

The firm does not, directly or indirectly, receive, hold or otherwise owe funds or securities for or to customers. It does not carry customer accounts and does not carry proprietary accounts of broker-dealers (PAB accounts). Investor subscription funds for an offering are paid to the issuer or to a qualified third-party escrow agent or bank, never to the firm.

The firm is subject to the SEC's net capital rule (Exchange Act Rule 15c3-1) and maintains a minimum net capital requirement of $5,000 under Rule 15c3-1(a)(2)(vi). Consistent with the representations in its FINRA membership agreement, the firm does not claim an exemption from Exchange Act Rule 15c3-3 in reliance on footnote 74 to SEC Release 34-70073.

08Securities Investor Protection Corporation

Plural Brokerage LLC is a member of theSecurities Investor Protection Corporation (SIPC). You may obtain information about SIPC, including the SIPC brochure, by contacting SIPC.

SIPC protection is limited. It covers the custody obligations of a failed brokerage firm; it does not protect against a decline in the market value of a security, and it does not cover investment losses. Because the firm does not hold customer funds or securities, no customer assets are held at the firm for SIPC to protect.

09Statement of Financial Condition

Under Exchange Act Rule 17a-5, the firm's annual audited statement of financial condition is available to customers on request, without charge. Write toir@pluralfinance.com to request a copy. The firm's annual reports filed with the SEC are also available through the Commission's public files.

10State Registrations

The firm is registered or notice-filed as a broker-dealer in 53 U.S. states and territories. The current jurisdiction list is shown on the firm'sBrokerCheck report, which is the authoritative source and is updated as filings change. The firm conducts securities business only in jurisdictions where it is registered or exempt from registration.

11Private Offering Risk Disclosure

Nothing on this site is an offer to sell, or a solicitation of an offer to buy, any security, and nothing here is investment, legal, tax or accounting advice. Any offer is made solely to eligible investors by means of definitive offering documents for a specific offering, which contain the material terms and the risk factors applicable to that offering. Read those documents before investing.

Privately offered securities involve substantial risk, including:

• Loss of the entire amount invested.
• Illiquidity — the securities are typically not listed, transfer is restricted, and no secondary market may ever develop.
• Limited or no ongoing reporting relative to a public issuer.
• Reliance on the sponsor or manager, including key-person and conflict-of-interest risk.
• Valuations that are estimates rather than market prices, and may not be realisable.
• Long holding periods, capital calls, and dilution.

These offerings are generally available only to investors who meet applicable eligibility standards, such as accredited investor or qualified purchaser status. Past performance is not indicative of future results, and no return is guaranteed. Forward-looking statements are estimates that involve risk and uncertainty; actual results may differ materially.