Business Continuity Plan

Planning Summary

Forta Financial Group, Inc., has developed a Business Continuity Plan describing how we will respond in the event of a significant disruption to our business. Since the timing and impact of disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you these guidelines relating to our business continuity plan in the event of a significant business disruption.

Contacting Us

If after a significant business disruption you cannot contact us as you usually do at one of our branch offices, you should call our alternative numbers: 800-230-1288 or 303-694-1600 (corporate headquarters). Or please refer to our web site at If you cannot access us through those means, you should contact our clearing firm, First Clearing, LLC at 888-215-3904. The address of our clearing firm is First Clearing, LLC, One North Jefferson Avenue St. Louis, MO 63103. Our clearing firm’s web site is

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 relative to the scope and severity of an unforeseen significant business disruption.

Our business continuity plan addresses: 1) data back up and recovery; 2) mission critical systems; 3) financial and operational assessments; 4) alternative communications with customers, employees, and regulators; 4) alternate physical location of employees; 5) critical suppliers, bank and counter-party impact; 6) regulatory reporting; 7) and assuring our customers prompt access to their funds and securities if we are unable to continue normal business operations.

Our clearing firm, First Clearing, LLC, archives important records at their corporate facilities and provides additional back up of those records in a geographically separate area. These records include account information, balances, securities positions, and transactions. 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 our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments in the shortest time possible. Your orders and requests for funds and securities could be delayed during a period of resumption of operations.

Varying Disruptions

Significant business disruptions can vary in their scope, such as an event involving 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 an alternative site, such as a branch location, 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 attempt to recover and resume business within the shortest time possible. In either situation, we plan to continue in business, transferring operations to our clearing firm if necessary, and provide information through our web site, or our customer emergency number, 800-230-1288. If the significant business disruption is so severe that it prevents us from remaining in business, we will do everything within our power to assure customers prompt access to their funds and securities.

For more information—if you have questions about our business continuity plan, please contact us at:

Forta Financial Group, Inc .
5445 DTC Parkway, Suite 1100
Greenwood Village, CO 80111

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