UNITED PLANNERS FINANCIAL SERVICES - BUSINESS CONTINUITY PLAN United Planners has developed a business continuity plan to describe how we will respond to events that significantly disrupt our business. Since the timing and impact of disruptions is unpredictable, we are 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. Contacting Us If, after a significant business disruption, you cannot contact us as you usually do through your advisor at his or her local office, please call our main number in Scottsdale, AZ: (480) 991-0225 or go to our main website at www.unitedplanners.com. If the business disruption is limited to your advisor’s local area, you may access your funds and securities and enter transactions directly through United Planners’ home office. In the event the business disruption affects United Planners’ home office location, we will post a bulletin on www.unitedplanners.com, advising you of the status of our operations and providing you with instructions on how you may access your funds and securities. If you cannot access us through any of the means described above, you should contact our clearing firm, Pershing, at (201) 413-3635.

The clearing firm will provide you with instructions on how to access your funds or securities, enter orders, or process other account-related transactions. Our Business Continuity Plan We plan to quickly recover and resume business operations after a significant business disruption and to 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. A cross-functional team of senior personnel is responsible for evaluating any disruption and instituting the appropriate plan of action. Our business continuity plan addresses data backup 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. United Planners incorporates redundancies to back up our important records and our clearing firm, Pershing, backs up our important records in a geographically separate area.

While every emergency situation poses unique problems based on external factors, such as the time of day and the severity of the disruption, we have been advised by our clearing firm that their objective is to restore their own operations and to be able to complete existing transactions and accept new transactions and payments within four hours of a local, non-severe business disruption. United Planners will employ our contingency plan and expects to be able to facilitate securities transactions with minimal disruptions; however your orders and requests for funds and securities could be delayed during this period. . It is important to note, however, that the scope and impact of a local or regional disruption can vary significantly, and certain elements of our and our clearing firms’ recovery plans may require a longer recovery period, which means your requests for funds or securities, could be further delayed. During a business disruption, we will continually evaluate, estimate, and communicate the recovery time necessary to resume operations. Varying Disruptions Significant business disruptions can vary in scope; for example, they can impact 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 entire 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 to a building housing our firm, we will transfer our operations to an alternative location, if needed, and we expect to recover and resume critical business functions within several hours. Important Disclaimers United Planners will adhere to the procedures described in its business continuity plan and described above to the extent commercially reasonable and practicable under prevailing circumstances.

There are, however, an incalculable number of events or circumstances that could result in a significant business disruption and their impact may vary greatly in size, scope, severity, duration, and geographic location. Further, significant business disruptions may result in varying degrees of harm to human life and regional or national infrastructure (power, transportation, communications, etc.), which could affect the firm’s recovery in significant and different ways. In light of this, United Planners, in its sole discretion, reserves the right to flexibly respond to any disruption in a situation-specific and prudent manner. Nothing in this disclosure document is intended to provide a guarantee or warranty regarding the actions or performance of the firm, its computer systems, or its personnel in the event of a significant business disruption. For More Information If you have questions about our business continuity planning, you can contact us by writing to United Planners Financial Services, 7333 E.

Doubletree Ranch Road, Suite #120, Scottsdale, AZ 85258, or by calling us at (480) 991-0225. .