First Western Securities

FINANCIAL SERVICES

First Western Securities (FWS) was founded in 1987 as an independent, full service broker-dealer. Our services include retirement planning, asset allocation, and investment portfolio analysis. First Western Securities also serves as a Registered Investment Advisor, offering portfolio management in both equity and fixed income accounts.

BROKER SERVICES

First Western Securities prides itself on offering knowledgeable, friendly, and personable service to over 40 registered representatives and their clients, primarily in the southwestern and western United States. FWS Financial Advisors are independent contractors, who receive a full spectrum of products and services to assist them in serving the needs of their clients. Access to these services can be placed at an advisors fingertips with remote access options via the internet.

As a First Western Securities Registered Representative, you'll receive the three most important tools necessary to operate a successful business. Superior service, innovative products and services and the latest breakthroughs in technology. For more information on becoming a registered representative with First Western Securities, Inc., Contact Us.

Research

First Western Securities offers research by Wachovia Securities, Standard & Poors, Credit Suisse, CS First Boston, and Prudential Securities.

Memberships

First Western Securities is a member of the Financial Industry Regulatory Authority FINRA and the Securities Investor Protection Corporation SIPC.

Clearing Relationships

Clearing services are provided by First Clearing, LLC of Richmond, VA. First Clearing, LLC is a subsidiary of Wells Fargo.

Account Protection

Under SIPC, all accounts are protected up to $500,000 per client, including up to $100,000 in cash in the event of liquidation.
Additional insurance up to $99,500,000 has been purchased by First Clearing LLC.
This protection is not applicable against market fluctuation and certain related accounts may have one aggregate limit.

First Western Securities Privacy Policy

You have provided us with certain Nonpublic Personal Financial Information in connection with establishing your brokerage account and providing financial advice and/or investment advisory services. This Information will generally be derived from information we receive from you on the New Account form or other forms, and information about your securities transactions with us or other advisers and broker/dealers which may be providing financial services to you. We restrict access to your personal and account information to our personnel and third party service providers on a “need to know” basis in order to provide products or services to you. We always maintain physical, electronic, and procedural safeguards to guard your non-public personal information. We do not disclose any Nonpublic Personal Financial Information about you to anyone, except as permitted by law.

Business Continuity Plan

First Western Securities has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us - If after a significant business disruption you cannot contact us as you usually do at 817-553-1492 or 1-800-327-1279, you should call our alternative number or go to our web site at www.firstwesternsecurities.com If you cannot access us through either of those means, you should contact our clearing firm, First Clearing, LLC, at 1-866-786-4879 for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for your customers.

Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our clearing firm, First Clearing, LLC, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing firm that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments as soon as critical trading activities and operations support can be re-established upon personnel arriving at the alternate location(s). Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions - Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within as soon as critical trading activities and operations support can be re-established upon personnel arriving at the alternate location(s). In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within as soon as critical trading activities and operations support can be re-established upon personnel arriving at the alternate location(s). In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our web site www.firstwesternsecurities.com or our customer emergency number, 817-378-1492 on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their funds and securities.

For more information - If you have questions or would like a copy of the FWS Business Continuity Plan, you may contact us at 817-553-1492 or 669 Airport Frwy, Ste 409, Hurst, TX. 76053.