Joseph L. Sanders

WESTPARK CAPITAL

Irvine, CA 92614

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CRD#: 1177680

Professional summary

Joseph Leonard Sanders, who also goes by Joseph L Grzywa Jr, Joseph Leonard Grzywa Jr, is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Irvine, California.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1983. Joseph has worked at 10 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph L Grzywa Jr | Joseph Leonard Grzywa Jr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Leonard Sanders's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 7, 2016 - Present

WESTPARK CAPITAL, INC.

Office #1: 2030 Main Street Suite 210, Irvine, CA 92614

RIA

CRD#: 39914

Irvine, CA

Past

May 1, 2019 - September 2, 2020

WESTPARK CAPITAL, INC.

RIA

CRD#: 39914

NEW YORK, NY

Past

August 22, 2007 - September 1, 2016

NEWPORT COAST SECURITIES, INC.

RIA

CRD#: 16944

HUNTINGTON BEACH, CA

Past

March 15, 2001 - September 1, 2016

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

April 20, 1999 - March 12, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 15, 1994 - April 12, 1999

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

August 7, 1992 - April 5, 1994

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 4, 1990 - July 31, 1992

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 21, 1989 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

April 11, 1988 - December 5, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 26, 1987 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

February 28, 1984 - June 22, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Past

September 23, 1983 - October 28, 1983

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

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".

WESTPARK CAPITAL, INC.

CRD#: 39914 / SEC#: 801-108275, 8-48898

RIA

Registered Investment Advisory firm - SEC (9/7/2016 Approved)

California

Registered Investment Advisory firm - SEC (10/14/2016 Terminated)

New York

Registered Investment Advisory firm - SEC (9/14/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/12/2016)

California
(10/10/2016)

Colorado
(10/12/2016)

Florida
(10/10/2016)

Michigan
(10/11/2016)

Missouri
(10/12/2016)

Nevada
(10/17/2016)

New Jersey
(10/14/2016)

New Mexico
(10/11/2016)

New York
(10/11/2016)

Texas
(10/11/2016)

Washington
(2/21/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WESTPARK CAPITAL, INC.

CRD#: 39914 / SEC#: 801-108275, 8-48898

RIA

Registered Investment Advisory firm - SEC (9/7/2016 Approved)

California

Registered Investment Advisory firm - SEC (10/14/2016 Terminated)

New York

Registered Investment Advisory firm - SEC (9/14/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

1800 Century Park East 22nd Floor, New York, NY 10017

Mailing Address

1800 Century Park East Suite 220, Los Angeles, CA 90067

Phone number

(310) 843-9300

Established

Michigan since 09/05/2025

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (21 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WESTPARK CAPITAL, INC. PART 2A BROCHURE (6/23/2025)

Direct owners and executive officers

Name	Position	CRD#
WESTPARK CAPITAL GROUP LLC	SHAREHOLDER
BELICEK, REBECCA JANE	CHIEF COMPLIANCE OFFICER	2106922
KAISER, AMY FARREN	FINOP	2992346
RAPPAPORT, RICHARD ALYN	CHIEF EXECUTIVE OFFICER	1885122

Regulatory assets under management

Total Number of Accounts	234
AUM (Assets Under Management)	$ 47,569,260

Disclosures

Regulatory Event	14
Arbitration	2

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.

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Advisor Monitoring

Firm Stability Insights

Joseph L. Sanders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Leonard Sanders's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTPARK CAPITAL, INC.

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

MORGAN STANLEY DW INC.

SUTRO & CO. INCORPORATED

A. G. EDWARDS & SONS, INC.

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

MORGAN STANLEY DW INC.

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/21/1984

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1983

FINRA

Current Firm

WESTPARK CAPITAL, INC.

Contact information

SEC notice filing (21 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WESTPARK CAPITAL, INC.

TRUST BUT VERIFY

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