Business Continuity Plan


Capital Financial Holdings, Inc., (“Company”) has established a formalized Business Continuity Plan to be implemented in the wake of a natural or man-made disaster. Such disasters might include, but are not limited to fire, tornado, flood, earthquake or chemical spill. The Company’s policy is to respond to disasters by safeguarding employees’ lives and Company property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the Company’s books and records, and allowing customers to transact business. The Company has made provisions and has established procedures to ensure the continuance of business within a predetermined “reasonable” period of time.

The Company’s Business Continuity Plan is reviewed regularly and is subject to change. Any updates to this summary will be promptly posted to the Company’s websites. Customers may obtain updated summaries at no cost by written request or by calling (877) 814-6379.

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