Northern Capital Securities Corporation maintains a comprehensive Business Continuity Plan to guide our response to events that may significantly disrupt business operations. While the timing and impact of such disruptions are unpredictable, our objective is to protect our clients, employees, and systems and to resume business as quickly and safely as possible.

Contacting Us During a Disruption

If you are unable to reach us at our main number (978 289 1000) following a business disruption, please use the following alternatives:

Backup Phone Line: (978) 886-1383
Website: www.northerncapital.com

We will post important updates and contact instructions on our website if normal channels are unavailable.

Our Continuity Approach

Our plan is designed to enable Northern Capital to safeguard employees and property, conduct financial and operational assessments, protect books and records, resume operations promptly, and provide continued access to client funds and securities.

We maintain data backups in geographically separate locations and have procedures in place for restoring mission critical systems. In most scenarios, we aim to resume operations and process transactions within four hours, although this may vary based on the nature and scope of the disruption.

Scope of Disruptions

Disruptions can vary in scale, from isolated incidents to widespread regional events. Our plan includes relocation procedures for both local and regional events.

For local disruptions affecting our office or building, we will transfer operations to a nearby alternate location with a target recovery time of four hours. For regional disruptions affecting the city or broader area, we will transfer operations to an out of area site with a similar recovery goal.

We will continue to operate and communicate through our website or emergency phone number unless conditions prevent us from doing so.

Questions

If you have any questions about our Business Continuity Plan or would like additional information, please contact us at (978) 289-1000.