Privacy Policy

Facts

WHAT DOES First Wilshire Securities Management, Inc. (“First Wilshire”) DO WITH YOUR PERSONAL INFORMATION?

Questions

Call 626-796-6622 or go to https://www.firstwilshire.com/

Why

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

What

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

Social Security Number and Income
Account Balances and Transaction History
Assets and Investment Experience
Name, Address and Driver’s License Number

When you are no longer our customer, we continue to share your information as described in this notice.

How

All financial companies need to share clients’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their clients’ personal information; the reasons First Wilshire chooses to share; and whether you can limit this sharing.

For our everyday business purposes

such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus

Does First Wilshire Share – Yes
Can you limit this sharing – No

We do not share for:

For our marketing purposes to offer our products and services to you
For joint marketing with other financial companies
For our affiliates’ everyday business purposes— information about your transactions and experiences
For our affiliates’ everyday business purposes— information about your creditworthiness
For nonaffiliates to market to you

Who is providing this notice?

First Wilshire Securities Management, Inc. (“First Wilshire”)

How does First Wilshire protect my personal information?

To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.

How does First Wilshire collect my personal information?

We collect your personal information, for example, when you

Open an Account or Seek Financial Advice
Seek Investment Advice or Make a Wire Transfer
Enter into an Investment Management Agreement

Why can’t I limit all sharing?

Federal law gives you the right to limit only

sharing for affiliates’ everyday business purposes—information about your creditworthiness
affiliates from using your information to market to you
sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under state law

Definitions

Affiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies.

Lake Street Management, LLC
Mount Wilson Management, LLC

Nonaffiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.

First Wilshire does not share with non-affiliates so they can market to you

Joint Marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

First Wilshire does not jointly market

Other Important Information

Information for California, North Dakota, Vermont and Nevada Customers

In response to applicable state law, if the mailing address provided for your account is in California, North Dakota, or Vermont, we will automatically treat your account as if you do not want us to disclose your personal information to non-affiliated third parties for purposes of them marketing to you, except as permitted by the applicable state law. Nevada residents may request to be placed on First Wilshire’s “do not call” list at any time by calling us at (626)

796-6622. Nevada law requires that we provide you with the following contact information for the Bureau of Consumer Protection: Office of the Nevada Attorney General, 555 E. Washington St., Suite 3900, Las Vegas, NV 89101; Telephone: 702-486-3132; Email: BCPINFO@ag.state.nv.us. To learn about additional privacy right protections by First Wilshire please contact us.