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BUSINESS CONTINUITY DISCLOSURE CapWest Securities, Inc. maintains a Business Continuity Plan, including data back up, recovery and alternative processing facilities to address interruptions to the normal course of business. This plan is reviewed annually and updated as necessary. The plan outlines the actions CapWest will take in the event of a building, city-wide, or regional incident, including relocating technology and operational personnel. In a firm-only or single building disruption, operations will be transferred to a local site. CapWest's anticipated recovery time is 48 hours. In a disruption affecting our business district, city, or region, operations will be transferred to a site outside of the affected area. In this instance, CapWest's anticipated recovery time is 2 business days. This recovery objective may be negatively affected by the unavailability of external resources and circumstance beyond our control. In the event of a significant business interruption, you may contact your Registered Representative, visit our website at www.capwestsec.com or forward an email to info@capwestsec.com. For additional information about how to request funds and securities if you are unable to contact CapWest, contact the mutual fund company, variable annuity company or product sponsor directly. If your account is held at Pershing, recorded instructions may be found by calling (201) 413-3635 or visit their website at www.pershing.com.

For more information, please call 303.798.5407 or toll-free 866.442.5381

Disclaimer: At certain places on this website, live "links" to other internet addresses can be accessed. Such external internet addresses contain information created, published, maintained, or otherwise posted by institutions, organizations or individuals independent of CapWest Securities, Inc. CapWest Securities, Inc. does not endorse, approve, certify, or control these external internet addresses and does not guarantee or assume responsibility for the accuracy, completeness, efficacy, timeliness, or correct sequencing of information located at such addresses. Use of any information obtained from such addresses is voluntary, and reliance on it should only be undertaken after an independent review of its accuracy, completeness, efficacy, and timeliness. Reference therein to any specific commercial product, process, or service by trade name, service mark, manufacturer, or otherwise does not constitute or imply endorsement, recommendation, or favoring by CapWest Securities, Inc. All information was obtained from sources believed to be reliable, but is not guaranteed and is subject to change without notice.

No part of this site may be reproduced or transmitted in any form by any means (electronic, photocopy, recording, or otherwise) without the written permission of CapWest Securities, Inc., Lakewood, Colorado. CapWest Securities, Inc. is securities licensed to transact business in all 50 states. This website is not intended as a solicitation of business.

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