Michael V. Mortensen

WESTPARK CAPITAL

Boca Raton, FL 33432

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CRD#: 1371803

Professional summary

Michael Victor Mortensen is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Boca Raton, Florida.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Victor Mortensen'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

February 15, 2018 - Present

WESTPARK CAPITAL, INC.

Office #1: 225 Ne Mizner Blvd Suite 530, Boca Raton, FL 33432

RIA

CRD#: 39914

Boca Raton, FL

Past

June 12, 2017 - December 19, 2017

I-BANKERS SECURITIES, INC.

CRD#: 41352

DELRAY BEACH, FL

Past

November 3, 2008 - June 20, 2017

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

BOCA RATON, FL

Past

February 17, 2005 - November 3, 2008

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

WEST PALM BEACH, FL

Past

September 19, 2002 - February 22, 2005

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

April 10, 2002 - June 6, 2002

AMEREST SECURITIES, INC.

CRD#: 40201

DALLAS, TX

Past

December 22, 1999 - February 21, 2002

TRIPP & CO., INC.

CRD#: 6967

NEW YORK, NY

Past

January 16, 1995 - November 20, 1998

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

BOCA RATON, FL

Past

April 12, 1994 - December 16, 1994

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

April 1, 1992 - March 18, 1994

TRIPP & CO., INC.

CRD#: 6967

NEW YORK, NY

Past

August 21, 1991 - November 25, 1991

JW GENESIS CLEARING CORP.

CRD#: 6631

BOCA RATON, FL

Past

January 31, 1990 - June 29, 1990

HORIZONS INTERNATIONAL CORPORATION

CRD#: 20530

Past

May 22, 1989 - January 13, 1990

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

January 10, 1989 - May 1, 1989

HUBERMAN SECURITIES CORP.

CRD#: 10133

Past

June 15, 1988 - January 2, 1989

ALLIED CAPITAL GROUP, INC.

CRD#: 13146

Past

January 7, 1988 - July 27, 1988

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Past

July 24, 1985 - November 17, 1987

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

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

California
(9/24/2019)

Colorado
(3/2/2018)

Florida
(2/26/2018)

Michigan
(2/21/2018)

New York
(3/2/2018)

Texas
(3/13/2018)

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: 11/14/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/25/1994

General Securities Principal 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

Michael V. Mortensen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Victor Mortensen's CRS (Customer Relationship Summary).

Certified licenses

Experience

I-BANKERS SECURITIES, INC.

DAWSON JAMES SECURITIES, INC.

NEWBRIDGE SECURITIES CORPORATION

NATIONAL SECURITIES CORPORATION

AMEREST SECURITIES, INC.

TRIPP & CO., INC.

JOSEPH CHARLES & ASSOC., INC.

BARRON CHASE SECURITIES, INC.

TRIPP & CO., INC.

JW GENESIS CLEARING CORP.

HORIZONS INTERNATIONAL CORPORATION

GRUNTAL & CO., L.L.C.

HUBERMAN SECURITIES CORP.

ALLIED CAPITAL GROUP, INC.

THE STUART-JAMES COMPANY, INCORPORATED

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/1985

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1985

Series 24

Date: 7/25/1994

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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