This site is only intended for clients and interested investors residing in states in which Wedbush Asset Management, LLC. (“WAM”) is qualified to conduct investment advisory services.
WAM is an SEC registered investment adviser whose main office is located in Los Angeles, CA. WAM may only transact business in those states or countries in which it is registered, or qualifies for an exemption or exclusion from registration requirements. For non-clients of the firm, WAM's website is limited to the dissemination of general information pertaining to its investment advisory services.
Please contact WAM at 213-688-3450 to find out if we may conduct advisory business in the state or country where you reside. Accordingly, WAM does not, and will not, effect or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, through this website. Any subsequent, direct communication with a prospective client shall be conducted by a WAM representative who is either registered or qualifies for an exemption or exclusion from registration in the state or country where the prospective client resides.
No Investment Advice
This website is not an offer to sell or the solicitation of an offer to buy any security in any jurisdiction where such an offer or solicitation would be illegal. This website is intended for informational purposes only and should not be construed as investment advice or a recommendation to sell or buy any security or other investment, or undertake any investment strategy. It does not constitute a general or personal recommendation or take into account the particular investment objectives, financial situations, or needs of individual investors. The price and value of securities referred to in reports herein will fluctuate. Past performance is not a guide to future performance, future returns are not guaranteed, and a loss of all original capital invested in a security discussed on this website may occur. Certain transactions, including those involving futures, options, and other derivatives, give rise to substantial risk and are not suitable for all investors.
The information on this internet site is directed at, and is intended for distribution to, and use by, persons in the United States only. It is not intended for distribution to, or use by, any person in any other jurisdiction.
By connecting to and using this site, you are indicating that you are 18 years or older and you agree to be bound by all of the terms and conditions set forth on this page.
WAM is not liable for any harm caused by the transmission, through accessing the services or information on this site, of a computer virus, or other computer code or programming device that might be used to access, delete, damage, disable, disrupt or otherwise impede in any manner the operation of the site or of any user's software, hardware, data or property.
WAM and its affiliates trade for their own account as a market maker, specialist, odd lot dealer, block positioner, arbitrageur and/or investor. Consequently, at the time of any transaction you may make, WAM or its affiliates may have a position in such securities, which position may be partially or completely hedged. WAM reserves the right to discontinue these activities or to increase or decrease its holdings of these securities at any time.
THIS SITE MAY CONTAIN INFORMATION, CONTENT AND ADVERTISEMENTS ("MATERIALS") SUPPLIED BY WAM AND/OR ITS CONTENT PROVIDERS. WAM AND ITS CONTENT PROVIDERS DO NOT WARRANT THE ACCURACY, COMPLETENESS OR TIMELINESS, MERCHANTABILITY, NON-INFRINGEMENT OR FITNESS FOR A PARTICULAR PURPOSE, OR OTHERWISE ENDORSE ANY OF THE MATERIALS CONTAINED ON, DISTRIBUTED THROUGH, OR LINKED, DOWNLOADED OR ACCESSED FROM ANY OF THE SERVICES CONTAINED ON THIS SITE NOR THE QUALITY OF ANY PRODUCTS, INFORMATION OR OTHER MATERIALS DISPLAYED, PURCHASED, OR OBTAINED BY YOU AS A RESULT OF AN ADVERTISEMENT OR ANY OTHER INFORMATION OR OFFER IN OR IN CONNECTION WITH THE SITE (THE "PRODUCTS"). YOU HEREBY ACKNOWLEDGE THAT ANY RELIANCE UPON ANY MATERIALS SHALL BE AT YOUR SOLE RISK AND NEITHER WAM NOR ANY OF ITS AFFILIATES, AGENTS OR LICENSORS SHALL BE LIABLE TO YOU OR ANYONE ELSE FOR ANY LOSS OR INJURY CAUSED IN WHOLE OR IN PART BY YOUR USE OF THIS SITE, THE MATERIALS OR THE PRODUCTS. WAM AND ITS AFFILIATES, AGENTS AND LICENSORS SHALL NOT BE LIABLE TO YOU OR ANYONE ELSE FOR ANY CONSEQUENTIAL, SPECIAL, INCIDENTAL, INDIRECT OR SIMILAR DAMAGES (INCLUDING, BUT NOT LIMITED TO, DAMAGES FOR LOST PROFITS OR LOST OPPORTUNITY) EVEN IF ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. WAM RESERVES THE RIGHT, IN ITS SOLE DISCRETION AND WITHOUT ANY OBLIGATION, TO MAKE IMPROVEMENTS TO, OR CORRECT ANY ERROR OR OMISSIONS IN ANY PORTION OF THE SITE OR THE MATERIALS.
Clients and/or investors wishing to receive a copy of WAM’s Proxy Voting Policy, or a historical record of how WAM has voted client/investor securities, may email Wedbush Securities, Inc.'s Business Conduct Department at Business-Conduct@wedbush.com or may make their request by telephone at 213-688-8090.
USA PATRIOT ACT
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents.
WAM is committed to protecting the interests of clients at all times. Because WAM uses the Information Technology services and the physical office locations of its affiliate Wedbush Securities, Inc., WAM has adopted Wedbush Securities, Inc.’s plan to provide for business continuity (Continuity Plan) in the event that business is disrupted. The Continuity Plan addresses all critical business processes, including providing clients with the ability to buy and/or sell and providing access to securities and funds.
The Continuity Plan addresses interruptions that are either localized or regional in scope, whether short or long term, regardless of the cause. The Continuity Plan is reviewed and tested annually and has been approved by senior management.
Should a disruption occur at our headquarters in Los Angeles, California, some operational functions may be temporarily disrupted while staff relocate to predetermined alternative sites.
Wedbush has Information Technology services that are housed and operate concurrently in dual, geographically disperse sites. Either site is capable of supporting all critical functions should one site be disabled. Information is also backed up and stored at a third location at predetermined intervals. Any business disruption at Wedbush will not result in the loss of your account information, securities or money.
Your account information and transaction history are also stored at our data processing provider that has its own business continuity plan that is regularly tested. Your securities and funds are held at banks, custodians and other providers of services to the securities industry that each have their own successfully tested business continuity capabilities. These facilities are all located remotely from Wedbush's corporate data processing sites.
In the event that a disruption occurs that affects Wedbush, relevant information, including contact information, will be prominently displayed on the website.