We Are Committed to Protecting Your Personal, Nonpublic Information

At First Wall Street Corp., we strive to provide you with the highest level of service and products. In that regard, maintaining the privacy of the personal, nonpublic information you provide to us is important and we want to assure you that we are committed to protecting the privacy of your personal, nonpublic information.

This Privacy Policy outlines the types of personal, nonpublic information we gather about you, how we use it, and with whom we might share it.

The Types of Personal, Nonpublic Information We Collect

In order to provide you the highest level of services possible, it is necessary for us to collect and maintain certain personal, nonpublic information about you. We collect this information from applications and other forms, from your dealings with others and us, and depending upon the services and products you have requested or for which we have been asked to provide. We also instruct our clearing firm to submit and collect personal, nonpublic information about you from consumer and industry reporting agencies to the extent required by regulatory bodies to verify your identity and, as permitted, to protect our rights and obligations that arise from servicing your account.

Examples of Personal, Nonpublic Information We Collect and Maintain

We may also collect personal, nonpublic information that is provided from our clearing brokers, custodians, and other investment managers that service your account(s) with First Wall Street Corp., such as the following:

How Information is Used

We use personal, nonpublic information in ways that are compatible with the reason for which we originally requested the information. First Wall Street Corp. does not share your personal, nonpublic-information with affiliated or unaffiliated companies, except as necessary to provide the services you have authorized in agreements with First Wall Street Corp. or as required by law.
(For example, if you authorize the use of a third-party investment manager, we share information with the manager, in accordance with the terms of your agreement.)

First Wall Street Corp., only grants access to your personal, nonpublic information to its employees who have a business purpose for accessing such information. Such information that is accessed by electronic means is only accessible by a User ID and Password. User ID and Password is only granted to authorized individuals affiliated with your account such as representative and support staff. We have physical safeguards that only allow appropriate employees to have access to locked and secured areas. Moreover, First Wall Street Corp. requires its employees to follow firm policy and procedures to protect your personal, nonpublic information and to keep it confidential.

In order to provide you with the appropriate level of services that you request, we may share account and transactional information within First Wall Street Corp, on a need to know basis. We may, with your consent, share the personal, nonpublic information described above with firms that are necessary to assist us in carrying out the services you have requested and authorized. For example, we may share your personal information for specific business purposes with the following types of companies:

Be assured that First Wall Street Corp. does not sell personal, nonpublic information to anyone. Additionally, we afford the personal, nonpublic information of our former clients the same level of protection afforded to current clients, to the extent required by law, including actions required to protect our rights and obligations associated with servicing your account.

We do reserve the right and are obligated to disclose your personal, nonpublic information when required to do so by law, including as required by law enforcement officials, for example, for anti-money laundering purposes, or by regulatory agencies. We also reserve the right to disclose your personal, nonpublic information in order to perform credit checks or to collect monies owed to us by you, and to protect our rights and obligations associated with servicing your account.

The Accuracy of Your Personal Information

At First Wall Street Corp., our goal is to maintain current and accurate information about you in order to properly service your needs. Consequently, First Wall Street Corp. clients may have reasonable access to their personal information to verify the accuracy of this information. You may either write or call your First Wall Street Corp. representative to request your personal account information. If you identify any error in your personal information or you would like to update your records, please advise your First Wall Street Corp. representative.

Questions about First Wall Street Corp.’s Notice of Privacy Policy should be directed to the Compliance Department who can be reached at (800) 453-2255. Thank you and we appreciate your business.