WEBSITE CONTENT

 

The information on this site is provided “AS IS” and without warranties of any kind either express or implied. To the fullest extent permissible pursuant to applicable laws, Trident Financial Planning (referred to as "TFP") disclaims all warranties, express or implied, including, but not limited to, implied warranties of merchantability, non-infringement and suitability for a particular purpose. TFP does not warrant that the information will be free from error. None of the information provided on this website is intended as investment, tax, accounting or legal advice,  as an offer or solicitation of an offer to buy or sell, or as an endorsement of any company, security, fund, or other securities or non-securities offering. The information should not be relied upon for purposes of transacting securities or other investments. Your use of the information is at your sole risk. Under no circumstances shall TFP be liable for any direct, indirect, special or consequential damages that result from the use of, or the inability to use, the materials in this site, even if TFP or a TFP authorized representative has been advised of the possibility of such damages. In no event shall Trident Financial Planning have any liability to you for damages, losses and causes of action for accessing this site. Information on this website should not be considered a solicitation to buy, an offer to sell, or a recommendation of any security in any jurisdiction where such offer, solicitation, or recommendation would be unlawful or unauthorized.

All written content on this site is for information purposes only. Opinions expressed herein are solely those of Trident Financial Planning LLC unless otherwise specifically cited.  Material presented is believed to be from reliable sources and no representations are made by our firm as to another parties’ informational accuracy or completeness.  All information or ideas provided should be discussed in detail with an advisor, accountant or legal counsel prior to implementation.   

This website may provide links to others for the convenience of our users.  Our firm has no control over the accuracy or content of these other websites.

Privacy Policy Statement

To view the firm's privacy policy statement, please click here to download the document. Last updated January 18, 2017.

 

REGISTRATION INFORMATION

Advisory services are offered through Trident Financial Planning LLC; an investment advisor firm domiciled in the State of Colorado. The presence of this website on the Internet shall not be directly or indirectly interpreted as a solicitation of investment advisory services to persons of another jurisdiction unless otherwise permitted by statute.

Follow-up or individualized responses to consumers in a particular state by our firm in the rendering of personalized investment advice for compensation shall not be made without our first complying with jurisdiction requirements or pursuant an applicable state exemption.

For information concerning the status or disciplinary history of a broker-dealer, investment advisor, or their representatives, a consumer should contact their state securities administrator.

 

Business Continuity Plan

Trident Financial Planning, LLC

Trident Financial Planning, LLC has developed a Business Continuity Plan on the response to events that significantly disrupt business operations. Since the timing and impact of disasters and disruptions is unpredictable, the firm's response will depend on the nature and severity of the events as they occur. For privacy and security considerations, not all elements of the plan are displayed.

  • Contacting Trident Financial Planning, LLC - If you cannot contact the firm using the normal contact methods within a reasonable period of time, you can contact the Colorado Department of Regulatory Agencies, Division of Securities at (303) 894-2320. For access to securities and investment accounts, please contact your broker or custodian.
  • Business Continuity Plan - The firm has plans to quickly recover and resume business operations after a significant business disruption. These plans include considerations for the following:
    • data protection, back up, and recovery
    • protection and restoration of firm critical systems 
    • financial and operational assessment
    • alternative communications with clients, vendors, and regulatory agencies
    • critical supplier, contractor, and counter-party impact (see below)
    • reducing interruption of access to client funds and securities
    • discontinuation of business due to death or disability of principal members

 The firm's BCP is designed to prevent catastrophic disruptions to the operations of the business and allow the firm to resume operations as quickly as reasonably possible, depending on the nature and severity of the circumstances. 

Significant disruptions can vary in their scope, such as only our firm, a vendor's firm, or a geographical area of different sizes; or their severity from minimal to severe. In the event of disruption of business due to the geographical region, reasonable efforts will be made to relocate to an unaffected location if possible, or operations will be transferred to the custodian until they can be recovered and resumed. The firm will promptly notify you of any business disruptions through this website.

At least annually, the Chief Compliance Officer (CCO) performs a review of the BCP.

The Firm's Critical Vendors

TradePMR, Inc - Brokerage Services

First Clearing, LLC - Custodial Services

Betterment Institutional - Brokerage and Custodial Services