Business Continuity

PMA Financial Network, LLC and its Affiliated Companies Business Continuity Plan

Disclosure Statement:

PMA has developed a Business Continuity Plan that covers how we will respond to events that could significantly disrupt our business operations. Since the timing and impact of disruptions is unpredictable, we have developed a plan which provides flexibility in responding to actual events as they occur. With that in mind, we are providing you with this information on our Business Continuity Plan.

The PMA Business Continuity Plan includes:

  • Assessment of financial and operational activities;
  • Mission-critical system data backup and recovery;
  • Communications with customers, employees and regulators;
  • Relocation of employees and operations to multiple backup facilities of varying distances from the main offices where redundant data is maintained to allow PMA to continue operations; PMA is also currently working to implement remote access capabilities to critical staff for Disaster Recovery purposes;
  • Coordination with critical suppliers, contractors, banks and counterparties; and
  • Providing customers with prompt access to their funds and securities

PMA has specified and developed the necessary backup facilities to continue its operations until normal working conditions can be restored.  The following specific strategies for dealing with disasters of varying severity were used in the development of the Business Continuity Plan:

Building disruptions

In the event of a power outage, PMA maintains a backup generator that will be activated, which allows its systems to continually run until power is restored. In addition, PMA has engaged with a third-party disaster recovery service provider to provide, upon the declaration of a disaster, temporary office space facilities equipped with telephones and internet access, servers, computers and other required office equipment. PMA is also currently working to implement remote access capabilities to critical staff for Disaster Recovery purposes.

District, Citywide and Regional disruptions

In the event that PMA’s Naperville office building is not accessible, PMA maintains two backup facilities located in geographically diverse areas that can be activated immediately upon assessment of the disruption. These facilities are fully equipped to resume operations. The planned recovery time, including a relocation of sufficient personnel to resume sufficient services for the local, citywide or regional disruptions is approximately four hours, although the recovery may be negatively affected
by the unavailability of external resources and circumstances beyond PMA’s control. As mentioned above, PMA is currently working to implement remote access capabilities to critical staff for Disaster Recovery purposes. PMA may also utilize the services of its third-party service provider to provide additional office space facilities as reflected above.

Contacting PMA

If after a significant business disruption you cannot contact us in our Naperville, IL corporate headquarters at (630) 657-6400, please contact one of our branch locations, in MN at (763) 497-1490 or in WI at (414) 225-0099, or go to our website at

PMA’s Business Continuity Plan is reviewed annually and is subject to change. After the plan is reviewed, PMA will post a summary to our website. Customers can also obtain updated summaries by requesting a written copy by mail. If you have any questions about our Business Continuity Plan, feel free to contact us at (630) 657-6400.

Dated: August 2018