FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
CRD #6609 SEC #801-15260 PASADENA, CA 626-796-6622
SEC Registered Broker-Dealer Private Funds Disclosures
Total AUM
$565.2M
Discretionary
$565.2M
Employees
11
Clients
0
Accounts
539
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | NA | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | NA | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | NA | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | NA | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| DUNN, MATTHEW JAMES | I | CHIEF COMPLIANCE OFFICER / FINOP | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HANSON, THOMAS HERBERT | I | V.P., CHIEF OPERATIONS OFFICER | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO, CCO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO, CCO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO, CCO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO | NA | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT, CEO, CCO | NA | Control |
| HOWARD, MITCHELL WAYNE | I | CHIEF COMPLIANCE OFFICER, V.P., COMPLIANCE & OPERATIONS | NA | Control |
| HOWARD, MITCHELL WAYNE | I | CHIEF COMPLIANCE OFFICER, V.P., COMPLIANCE & OPERATIONS | NA | Control |
| HOWARD, MITCHELL WAYNE | I | CHIEF COMPLIANCE OFFICER, V.P., COMPLIANCE & OPERATIONS | NA | Control |
| HOWARD, MITCHELL WAYNE | I | CHIEF COMPLIANCE OFFICER, V.P., COMPLIANCE & OPERATIONS | NA | Control |
| HOWARD, MITCHELL WAYNE | I | CHIEF COMPLIANCE OFFICER, V.P., COMPLIANCE & OPERATIONS | NA | Control |
| HOWARD, MITCHELL WAYNE | I | CHIEF COMPLIANCE OFFICER, V.P., COMPLIANCE & OPERATIONS | NA | Control |
| HOWARD, MITCHELL WAYNE | I | V.P. COMPLIANCE & OPERATIONS, CCO, FINOP | NA | Control |
| HOWARD, MITCHELL WAYNE | I | V.P. COMPLIANCE & OPERATIONS, CCO, FINOP | NA | Control |
| HOWARD, MITCHELL WAYNE | I | V.P. COMPLIANCE & OPERATIONS, CCO, FINOP | NA | Control |
| HOWARD, MITCHELL WAYNE | I | V.P. COMPLIANCE & OPERATIONS, CCO, FINOP | NA | Control |
| HOWARD, MITCHELL WAYNE | I | V.P. COMPLIANCE & OPERATIONS, CCO, FINOP | NA | Control |
| HOWARD, MITCHELL WAYNE | I | V.P. COMPLIANCE & OPERATIONS, CCO, FINOP | NA | Control |
| WAGENAAR, DIRK JR | I | VICE PRESIDENT | NA | Control |
| WAGENAAR, DIRK JR | I | VICE PRESIDENT | NA | Control |
| WAGENAAR, DIRK JR | I | VICE PRESIDENT | NA | Control |
| WAGENAAR, DIRK JR | I | VICE PRESIDENT | NA | Control |
| WAGENAAR, DIRK JR | I | VICE PRESIDENT | NA | Control |
| WAGENAAR, DIRK JR | I | VICE PRESIDENT | NA | Control |
| WAGENAAR, DIRK JR | I | VICE PRESIDENT | NA | Control |
| WAGENAAR, DIRK JR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WAGENAAR, DIRK JR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ZLOCHISTYY, FELIKS | I | FINOP | NA | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | E | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | E | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | E | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | E | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | E | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | E | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| FIRST WILSHIRE SECURITIES MANAGEMENT, INC. | DE | PARENT COMPANY | E | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| ASTMAN, FREDRICK LEONARD | I | CHAIRMAN, DIRECTOR | D | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | C | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | B | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | B | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | B | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT & CEO | B | Control |
| HOOD, SCOTT WILLIAM | I | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | E | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | E | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | E | Control |
| ASTMAN, FREDRICK LEONARD | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | D | Control |
| ASTMAN, FREDRICK LEONARD | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | D | Control |
| ASTMAN, FREDRICK LEONARD | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | D | Control |
| ASTMAN, FREDRICK LEONARD | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | D | Control |
| ASTMAN, FREDRICK LEONARD | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | D | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | C | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | C | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | C | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | C | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | C | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | C | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | C | Control |
| HOOD, SCOTT WILLIAM | I | FIRST WILSHIRE SECURITIES MANAGEMENT, INC | C | Control |
Registrations
Federal
IA
Mar 30, 2012 REGISTERED
Notice Filings (41)
AK AL AZ CA CO CT DC FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO NC NH NJ NV NY OH OR PA RI SC TN TX UT VA VT WA WI WV
Address
1224 EAST GREEN STREETSUITE 200
PASADENA, CA 91106
United States
Phone: 626-796-6622