Founders Financial, Inc.

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Description

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 24 hours. 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 three days. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our parent company's web site www.foundersfinancial.com on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.

Our New Member Partner Program is not just about the transfer of accounts and the change of a broker dealer. Rather it is a time in which our new Member Partners begin to experience the real differences between Founders and the rest of our industry. It is a time of positive and inspired change as Founders begins to work with you to help you validate or recast your mission and value proposition. It is a time for Founders to train and empower both you and your staff to use the Customized Technology and Business systems that will drive more efficiency in your business. It is a time to celebrate with your clients your decision to join Founders and how it will enhance your ability to meet their important needs.

Our Business Continuity Plan – Within 24 hours after a significant business disruption, we plan to quickly recover and resume business operations 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.

Founders Financial, Inc. was established in 1994 as a private member enterprise serving independent wealth advisors seeking a rich and purpose based relationship. At the time of our launch in 1994, great emphasis was placed upon building our "tools" as aligned with our mutual purpose which is represented in our Mission and Value Statements.

Most importantly, is that it is about your needs. Founders does not place urgency or requirement on the process. We serve as your partner to help guide and direct your time and efforts so that all parties involved are acting with composure and consistent execution. We welcome the opportunity to grow our mission and value proposition with the important addition of each new Member Partner.

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