Nelson Ivest Brokerage Services, Inc. & Nelson Financial Planning, Inc. Business Continuity Plan

Nelson Financial Planning, Inc. and Nelson Ivest Brokerage Services, Inc. have 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 this information on our business continuity plan in case an event occurs that causes significant disruption.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 407-629-6477, you should call our alternative number 407-619-5307.  If you cannot access us through either of those means, you should contact the applicable mutual fund or variable annuity company to complete any transactions within your accounts, including investments or redemptions.  The contact information for the four mutual fund families that we predominately do business with is as follows:

American Funds, 1-800-421-4225, P. O. Box 2280, Norfolk, VA 23501-2280

Deutsche AM Service Company 1-800-728-3337, P. O. Box 219151, Kansas City, MO 64121-9151

MFS Service Center, 1-800-225-2606, P. O. Box 219341 Kansas City, MO 64121

Putnam Investments, 1-800-225-1581, P. O. Box 219697 Kansas City, MO 64105

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 back up 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.

Each mutual fund or variable annuity company backs up client records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by the mutual fund and variable annuity companies that their objective is to restore their own operations and be able to complete existing transactions and accept new transactions and payments within a reasonable period of time.  Your orders and requests for funds and securities could be delayed during this period.

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 as quickly as possible.  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 a reasonable period.  In either situation, we plan to continue in business, direct you to contact the mutual fund or variable annuity company directly and notify you through our customer emergency number at 407-619-5307 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 accounts.

For more information – If you have questions about our business continuity planning, you can contact us at 407-629-6477.