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Investment Adviser Firm Summary

FIRST WILSHIRE SECURITIES MANAGEMENT, INC. (CRD# 171971 / SEC# 801-15260)
Alternate Names: FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/27/1980

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 04/30/2001
California 07/08/1997
Colorado 04/30/2001
Connecticut 07/27/2001
District of Columbia 12/05/2001
Florida 04/30/2001
Georgia 11/12/2004
Hawaii 07/27/2001
Illinois 06/04/2001
Kentucky 04/30/2001
Louisiana 04/30/2001
Maine 12/10/2004
Maryland 04/30/2001
Massachusetts 12/04/2001
Michigan 07/27/2001
Minnesota 04/30/2001
Missouri 07/09/2013
Nevada 05/16/2014
New Hampshire 07/30/2001
New Jersey 01/01/1992
New York 12/04/2001
North Carolina 04/30/2001
Ohio 04/08/2014
Oregon 12/10/2004
Pennsylvania 04/30/2001
South Carolina 10/27/2015
Tennessee 04/30/2001
Texas 08/09/1982
Virginia 04/30/2001
Washington 05/07/1982

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser