Privacy Policy

This Privacy Policy sets forth the policies of Wedbush Asset Management, LLC (“WAM”) with respect to nonpublic personal information you provide to us. These policies apply to individuals only and may be modified at any time, provided a notice of such change has been given to you.

You provide us with personal information, such as your name, address, telephone number, social security number, account information, assets and/or income information (1) in the subscription agreement and related documents, (2) client agreements or other forms, (3) in correspondence and conversations with WAM’s representatives; and (4) through transactions with WAM or its affiliates.

We will disclose nonpublic personal information about you to parties other than our affiliates only for the following reasons:

  • Legal and routine business reasons: We may disclose nonpublic personal information if required or permitted by law. We may share information with government agencies that have jurisdiction over us, for example in regulatory examinations or inspections, or we will from time to time disclose nonpublic personal information to our auditors and accountants, attorneys, brokers, and back-up data storage providers for legal and business reasons.
  • To manage your investments: We may also disclose non-public personal information to certain service providers we have engaged to help us accept and manage your investments. Such service providers may include consultants, temporary workers, and our third-party account administrators, among others.
  • With your authorization: We may disclose non-public personal information to certain persons at your request or with your consent.

We maintain physical, electronic and procedural safeguards to protect your nonpublic personal information. We direct third parties performing services for WAM, including accountants, attorneys, auditors, brokers, consultants, temporary workers, and our administrators, to protect your nonpublic personal information and to only use such information to provide the services we have contracted with them to perform.

If you have any questions concerning this privacy policy, please contact Wedbush Securities, Inc.'s Business Conduct Department at (213) 688-8090 or Business-Conduct@wedbush.com.

We will notify individuals of our privacy policy annually. In addition, should our privacy policies change with respect to sharing your nonpublic personal information with non-affiliated third parties, we will notify you. At that time, you may notify us, in writing, if you wish that your nonpublic personal information not be shared in such manner except as necessary to manage your investments, as required for legal or routine business reasons or with your consent.