Worth Financial Group has 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.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (469) 916-4287, you should call our alternative number (972) 740-4021.  If you cannot access us through either of those means, and you have a brokerage account with National Financial Services you should contact our clearing firm.

Worth Financial Group introduces accounts to National Financial Services via a Tri-Party Agreement through Maplewood Investment Advisors Inc. National Financial Services I is located at 200 Liberty Street, New York, NY 10281. Their telephone number is (800) 752-7053. Their web address is http://www.nationalfinancial.com . Maplewood Investment Advisors is located at 8750 N. Central Expressway, Suite 715

Dallas, TX  75231. Their phone number is (214) 739-5677. Their web address is http://www.maplewoodinvestments.com/. Our contact at Maplewood is Dan Dooley. Dan Dooley’s telephone number is (214) 739-5677 and his email address is ddooley@maplewoodinvestments.com . Maplewood has also given us the following alternative contact in the event it cannot be reached: Mike Kelly. Mr. Kelly’s telephone number is (800) 291-5318. Mr. Kelly’s email address is michael.j.kelly@fmr.com .

Worth also opens certain investment advisory accounts at TD Ameritrade. Those customers may contact TD Ameritrade by telephone at (866) 381-7360. By the Internet at  http://www.tdameritrade.com . You may also contact Robb Wettergren at TD Ameritrade by email to Robert.wettergren@tdameritade.com . TD Ameritrade’s corporate address is 4075 Sorrento Valley Blvd, San Diego CA 92121.

If you have an account directly with a mutual fund or variable insurance company and you are not able to contact us at our main or emergency telephone numbers you may call direct to that mutual fund company or variable insurance company. You may find the telephone number listed on your monthly or quarterly statement.

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.

Our clearing firm National Financial Services, backs up our important 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 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 within the next business day.  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 within one business day.  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 three business days.  In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site or our customer emergency number, (972) 740-4021 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 funds and securities.

For more information – If you have questions about our business continuity planning, you can contact us at:

Worth Financial Group Inc.

16660 Dallas Parkway, Suite 2200

Dallas TX 75248

Business phone: (469) 916-4287

Email: info@worthfinancialgroup.com