State and Federal Regulations
Due to various state regulations and registration requirements
concerning the dissemination of information regarding investment
products and services, we are currently required to limit
access of the following pages to individuals residing in states where we are currently registered.
A broker/dealer, Investment Advisor, BD agent or IA rep may only
transact business in a particular state after licensure
or satisfying qualifications requirements of that state,
or only if they are excluded or exempted from the state's
broker/dealer, investment advisor, or BD agent or IA Reprequirements, as
the case may be; and follow-u individualized responses to
consumers in a particular state by broker/dealer, investment advisor,
BD agent or IA rep that involve either the effecting or
attempting to effect transactions in securities or the
rendering of personalized investment advice for compensation,
as the case may be, shall not be made without first complying with the state's
broker/dealer, investment advisor, BD agent or IA rep requirements, or pursuant
to with the states broker/dealer, investmentadvisor, BD agent or IA rep requirements,
or pursuant to an applicable state exemption or exclusion.
First Wall Street Financial
Advisors is licensed as a BD in the following states: CA and
NV
First Wall Street Financial
Advisors is a Registered Investment Advisor in the following states: CA and
NV.
Third Parties
First WallStreet Financial Advisors has not reviewed the content
of any third party website, which is linked to its own site nor is it responsible
or liable for the content of any third party website. First WallStreet Financial
Advisors provides third party links solely as a convenience and for educational
or informational purposes to its users. By linking to any third party website,
you do so at your own risk and acknowledge leaving the website of First WallStreet
Financial Advisors.
Any opinions or recommendations expressed on any third party website are
solely those of the independent providers and are not the opinions, recommendations
or necessarily the views of First WallStreet Financial Advisors. First WallStreet
Financial Advisors does not provide any legal, tax, accounting or investment
advice concerning the suitability or profitability of any security or investment.
First WallStreet Financial Advisors does not warrant the timeliness, accuracy
or completeness of any facts, material or information contained on any third
party website. First WallStreet Financial Advisors reserves the right in
its sole discretion to add or discontinue links to any third party website
at any time and for any reason.
Trademarks, logos, and service marks represented on this website are trademarks
of their respective companies.
Business
Continuity Plan
In
the event of a disruption that affects an area smaller than our business
district, such as our street, building, or suite, Pacific West is prepared
to recover and be ready to serve clients within 24 to 48 hours. Pacific
West has a written Recovery Plan that outlines preparation to relocate
our operations to an alternate location. Duplicates of all data essential
to client accounts can be found at our office, with each client’s
representative, and each client’s respective clearing firm. In the
event that the disruption covers an area larger than our business district
such as city-wide, regional, or state-wide, Pacific West plans to resume
business, but cannot state a recovery time as it would depend on availability
of external resources and circumstances beyond our control. To find projected
recovery times at the time of the disruption, visit our site at www.pwfinancial.com
or call your representative. Our Recovery Plan is subject to change,
and updated summaries can be viewed at our website or can be requested
to be mailed from our Home Office.