Business Continuity Disclosure

Nothing is more important to us than the trust you have placed in Guardian Capital Group LLC (Guardian) to maintain the safety and accessibility of your assets. Accordingly, Guardian has dedicated considerable resources to develop backup systems that will continue to operate in situations of varying severity.

In each case, our plans are designed to ensure that our business will continue to function with little disruption, that customer assets will be secure and accessible, and that you will be able to reach us regardless of the scope of the situation.

Contingency Plans

Guardian has developed a set of contingency plans that will permit it to continue operations in the event there is a significant business disruption affecting one or more of our business locations. Guardian recovery strategies provide for the transfer of operations to an alternate location in the event of a disruption to a primary site. So, for example, if our primary facility is affected, clients can continue to access their accounts through the internet or by telephone. If the primary location of the company’s internet servers is affected, internet operations will be run from another site. In the event of a prolonged disruption to any particular location, our Business Continuity Plan provides for relocation of staff to another location, where we will continue to provide the best service possible.

Guardian has also developed a set of contingency plans that will permit it to continue to operate in the event that there is a significant business disruption to its business systems. Guardian backs up our system data on a daily basis and keeps this data at several independent locations. We anticipate that we can resume normal operations in 48 hours.

Nevertheless, there can be no assurance that service will continue without interruption in certain circumstances, such as a regional blackout, a natural disaster or a terrorist attack. However, in the unlikely event that Guardian has determined that it cannot resume operations within a reasonable amount of time, Guardian will provide as much advance notice as possible regarding its ongoing operations. Clients may also contact our affiliated clearing firms directly at the following numbers:

TD Ameritrade (800)431-3500

Although Guardian is highly confident that clients will continue to have access to their accounts in the event of a significant business disruption, it is possible that there may be some temporary disruption or change in the manner in which you can access your account. Guardian will notify clients of any such changes or disruptions by posting a notice on the firm’s website and/or through a message on its telephone system.

To best prepare for such contingencies, we suggest you become familiar with the various means through which you can access your account and place trades, including contacting your clearing firm (numbers listed above) or:

Online at www.guardiancaptialgroup.net
By telephone, (888) 509-3861 or (928) 204-9147

Please be aware that due to the unpredictability of events, this document provides only general guidance and Guardian reserves the right to modify its responses to these scenarios as necessary, without advance notification, in order to address additional unforeseen situations. Updated plans will be promptly posted on the Guardian website or you may obtain a copy by contacting our office at (928) 204-9147or in writing to:

Guardian Capital Group LLC
3190 W. State Route 89A, Suite 800
Sedona, AZ 85336