• BROKERS FINANCIAL BUSINESS
    CONTINUITY PLAN SUMMARY

Brokers Financial understands the importance of ensuring continued access to funds and securities for our customers.

Client Disclosure Statement: Brokers Financial understands the importance of ensuring continued access to funds and securities for our customers in the event a disaster significantly disrupts our home office operations. As a result, Brokers Financial has developed a Business Continuity Plan that describes how we will respond to events that significantly disrupt our home office operations.

In the event a significant business disruption affects the home office operations, we plan on continuing to conduct business during those disruptions and may relocate personnel to an alternative location. Our Brokerage and Advisory business is operated by our Clearing Firms located in different regions of the country. Brokers Financial’s customer data is maintained by GenTech in Denver, CO. These companies maintain business continuity plans that support our plan.

In the event of a significant business disruption at our home office, customers should directly contact their Brokers Financial’s representative. Customers may also contact our home office at 877.886.1939.

While we have a Business Continuity Plan in place, we cannot guarantee that we are able to recover as quickly as outlined above since the timing and impact of disasters are unpredictable. Our recovery may also be negatively impacted by the unavailability of third parties and/or other circumstances beyond our control.

For More Information

If you have questions about our business continuity planning, you can contact us at 877.886.1939.

This plan is subject to modification as business and regulatory needs require.