Northwest Financial LLC

BUSINESS CONTINUATION PLAN SUMMARY

Northwest Financial LLC and its subsidiaries, Northwest Financial Group LLC and NW Insurance Agency LLC (collectively NWF), are committed to providing timely service to our clients. We recognize the importance of preparing for various disaster scenarios that could hinder our ability to provide such service. Thus, NWF has taken aggressive steps to provide for business contingency and continuity planning under a variety of potential scenarios. We continue to update our continuity plans and expand our resources in order to provide for the recovery and timely resumption of critical business operations for NWF.

NWF Preparedness:

LPL Financial
NWF has an existing relationship with the brokerage house, LPL Financial. You can find LPL Financial’s Business Continuation Plan Summary on their website, www.lpl.com.

If NWF loses the ability to perform business in our Herndon, VA location, we will relocate staff with critical functions to our disaster recovery site in Hagerstown, MD. Recovery is expected within 48 hours. We have plans in place for recovery, and they are tested periodically.

NWF’s data is backed up on a daily basis and stored off-site. Our Information Technology department is responsible for recovering our data in a timely manner. Our disaster recovery personnel is broken up into teams. This ensures a quicker recovery period and enables numerous aspects of the business to be recovered, rather than focusing on only one issue.

NWF has communications systems set up at our disaster recovery site in Hagerstown, MD. Phone systems as well as Internet access are in place. We also have alternative communications set up between our Firm and staff. In addition, FINRA and the SEC will be contacted to inform them of our situation.

NWF is a subsidiary of Northwest Federal Credit Union. As such, we work very closely with various departments within the credit union to ensure continuity and rapid recovery.

Conclusion
Please be aware that, while we have detailed plans in place, we cannot guarantee that we will be successful in achieving recovery in the times noted above. For example, we may not be able to implement a plan during a disaster as quickly as we expect, or there may be disasters that we have been unable to anticipate and for which we have no plan. Additionally, if parts of our plan are dependent upon third parties, we will have no control over the success or failure of the third party to respond appropriately to the challenges posed at the time of the disaster. These plans are periodically updated and modified.

Access to securities and insurance products provided by Northwest Financial Group, a registered broker/dealer, member FINRA/SIPC. Northwest Financial Group is a subsidiary of Northwest Financial LLC, a wholly owned subsidiary of Northwest Federal Credit Union. Securities and insurance products are offered through LPL Financial and its affiliates, member FINRA/SIPC. LPL Financial has contracted Northwest Financial Group to refer securities and insurance business to LPL Financial. Northwest Financial LLC and Northwest Federal Credit Union are not registered broker/dealers and are not affiliated with LPL Financial. Not NCUA insured. No credit union guarantee. May lose value.

Loan protection and tax preparation services are not affiliated or endorsed by LPL Financial.

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