Notice of Privacy Policy
First Western Investment Managment, Inc., (“FWIM”) is committed to maintaining the confidentiality and security of information that we collect from our customers. We do not share nonpublic information about you (“Information”) without your consent except for the specific purposes described below. This privacy notice describes the Information we collect and the circumstances under which we may share it with others. We may change our privacy policy at any time upon notice to you.
What type of Information does FWIM collect? We collect Information directly from you when you apply for and use our financial products and services. For example, FWIM will retain any Information that you provide during the account opening process or after you become a customer and any correspondence or communications that you have with FWIM or the third parties that perform services on our behalf. We also will have access to Information about your FWIM account, such as your securities positions, account balances and transaction activity.
How does FWIM use the Information we collect? We use all of the Information that we collect (as described above) to provide you with the financial products and services that you request and to fulfill legal and regulatory requirements. We may share your Information with affiliated and unaffiliated persons, including service providers or other third parities such as the broker-dealer or custodian of your account(s) who (i) provide business services on your behalf; (ii) facilitate the processing of transactions that you request; (iii) assist us in servicing your account or providing products and services to you. FWIM may disclose your Information when we believe it necessary for the conduct of our business, or where disclosure is required by law. For example, we may disclose your Information for audit or research purposes, to attorneys or other professionals, or to law enforcement and regulatory agencies to help, among other things, prevent fraud or money laundering. Except in those specific, limited situations, without your consent, we will not disclose your personal Information to other companies who may want to sell their products or services to you. For example, we do not sell customer lists and we will not sell your name to a catalogue company or telemarketer. However, we may share personal information with your designated agent or other parties that you authorize.
How does FWIM protect your Information? FWIM restricts access to your Information to those persons that need the Information to perform the services described above. GKM also maintains physical, electronic and procedural safeguards that comply with federal standards to guard your Information.
Who does this privacy notice apply to? This privacy notice applies to individual customers (and former customers) who use the financial products and services offered by FWIM primarily for personal, family, or household purposes. The examples contained in this privacy notice are illustrations and are not intended to be comprehensive. This notice complies with recently enacted federal law and SEC and FTC regulations regarding privacy. You may have additional rights under other foreign or domestic laws that may apply to you.
Opt-Out Provisions. It is not a policy of FWIM to share nonpublic personal and financial information with affiliated or unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service client accounts or is mandated by law, there are no allowances made for clients to opt out.
Who should I contact if I want more information? Please let us know if we can answer any questions you may have regarding our privacy policies. You may contact us by telephone at (310) 268-2600.
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