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Gustave R. Ozag
WESTEND CAPITAL MANAGEMENT.
San Rafael, CA
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CRD#: 1142854
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Professional summary
Gustave Robert Ozag, CFP® is a registered financial advisor currently at WESTEND CAPITAL MANAGEMENT, LLC. located in San Rafael, California.
Gustave is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Gustave has worked at 4 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Gustave Robert Ozag is a registered independent insurance agent with Financial Systems, an insurance company that offers life, health, and disability insurance. Mr. Ozag receives compensation in the form of commissions from the sale of life, health, and disability insurance in connection with his activity as an independent insurance agent with Financial Systems. Mr. Ozag spends approximately 5% of his time on this activity.
Mr. Ozag does not receive any additional compensation for the financial planning services WestEnd offers its clients in connection with Mr. Ozag's role as WestEnd's Chief Financial Planning Officer.
Mr. Ozag's involvement in his outside business activities does not interfere with his ability to service WestEnd's clients or oversee the conduct of the Firm's business.
Gustave Robert Ozag does not receive compensation for the sale of securities or other investment products.
CRS (Client Relationship Summary) - RIA
Click below to view Gustave Robert Ozag's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 28, 2017 - Present
WESTEND CAPITAL MANAGEMENT, LLC.
RIA
CRD#: 120545
San Rafael, CA
Past
August 30, 2016 - December 31, 2016
WESTEND CAPITAL MANAGEMENT, LLC.
RIA
CRD#: 120545
San Rafael, CA
Past
June 28, 1994 - June 12, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
June 28, 1994 - June 12, 1995
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
June 10, 1983 - March 31, 1990
HIGHSMITH SECURITIES CORPORATION
BD
CRD#: 13016
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WC
WESTEND CAPITAL MANAGEMENT, LLC.
WESTEND CAPITAL LLC | WESTEND CAPITAL MANAGEMENT, LLC.
CRD#: 120545 / SEC#: 801-61128
RIA
Registered Investment Advisory firm - (5/10/2002 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(11/28/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WC
WESTEND CAPITAL MANAGEMENT, LLC.
WESTEND CAPITAL LLC | WESTEND CAPITAL MANAGEMENT, LLC.
CRD#: 120545 / SEC#: 801-61128
RIA
Registered Investment Advisory firm - (5/10/2002 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Harbor Drive Suite 300, Sausalito, CA 94965
Mailing Address
Po Box 29528, San Francisco, CA 94129
Phone number
(415) 856-0426
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 392 |
| AUM (Assets Under Management) | $ 348,134,070 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
