ProsperPlan Wealth is a member FINRA/SIPC. ProsperPlan Wealth is licensed in 50 states and this website is published in the United States for residents of the United States only. Products and services mentioned on this website may not be available in all states. To request a prospectus or information, contact ProsperPlan Wealth or your advisor. ProsperPlan Wealth is not soliciting business in any international jurisdictions.

The home offices of ProsperPlan Wealth Securities and ProsperPlan Wealth are located in Gold River (Sacramento), California. The information and opinions on this site, provided by third parties, have been obtained from sources believed to be reliable, but accuracy and completeness cannot be guaranteed. It is given for informational purposes only and is not a solicitation to buy or sell. This information is not intended to be used as the primary basis for investment decisions, nor should it be considered advice designed to meet the specific needs of an individual investor. Please seek the advice of professionals, as appropriate, regarding the evaluation of any specific information, opinion, advice, or other content.

Advisory services are provided by ProsperPlan Wealth, an SEC Registered Investment Advisory Firm. Information about those services may be reviewed in the ProsperPlan Wealth Form ADV, Part 2. Contact your advisory associate for the current form. ProsperPlan Wealth Securities and ProsperPlan Wealth are not banks, and products offered involve risks, including possible loss of principal, and may fluctuate in value. ProsperPlan Wealth advisors are not directly compensated by commissions.

Linked sites are not under the control of ProsperPlan Wealth, and ProsperPlan Wealth is not responsible for the contents of any linked site or any link contained in a linked site, or any changes or updates to such sites.

 

 

ProsperPlan Wealth has developed this Business Continuity Plan (“BCP”) to ensure that we are able to respond to emergencies or other significant business disruptions and meet our existing obligations to customers.

 

ProsperPlan Wealth’s Chief Operations Officer is primarily responsible for ensuring that the BCP is appropriate to the scale and scope of our business and for implementing and maintaining it, including through annual reviews.

 

 

If, due to a significant disruption in our business, you can contact us at 916-909-3993, or contact@prosperplan.com. If you cannot reach ProsperPlan Wealth through these means, please use the contact information for your custodian (e.g., TD Ameritrade, Charles Schwab, Fidelity) or the mutual fund/annuity company where your account is held.

You can also visit www.prosperplanwealth.com, where the BCP disclosure, including any updated information, is located at the bottom of the page under Disclosures.

 

 

If you cannot reach ProsperPlan Wealth and you have a fee-based advisory or brokerage account held at one of the custodial firms listed below, please contact the custodial firm directly for assistance with accessing your account(s) or placing trades.

 

 

Fidelity Institutional Wealth Services | (866) 658-2299
Charles Schwab | (877) 707-1961

 

 

If you hold assets directly with a mutual fund or variable annuity company (a “Fund Sponsor”), please contact that company directly (e.g., American Funds, Franklin Templeton, Putnam, Jackson National, Allianz) for instructions regarding account access or transactions.

 

Our BCP is designed to permit ProsperPlan Wealth to resume operations as quickly as possible, depending on the scope and severity of the disruption. It addresses data backup and recovery, mission-critical systems, financial and operational assessments, communication with clients and regulators, alternate work locations, third-party dependencies, and regulatory reporting.

 

 

If ProsperPlan Wealth experiences a disruption affecting a single location, we will transfer operations to another site whenever possible, with the objective of resuming operations within one business day. Updates will be posted at www.prosperplanwealth.com or made available through our emergency contact number.

 

 

Our BCP is periodically reviewed and tested. Updates will be posted promptly on our website.

For additional information or a mailed copy, contact us at 916-909-3993 or contact@prosperplan.com with “Business Continuity Plan Disclosure” in the subject line.