DK
Douglas F. Kaiser
WESTPARK CAPITAL
Boca Raton, FL 33432
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CRD#: 1674570
DK
Professional summary
Douglas Fulton Kaiser, who also goes by Doug Kaiser, is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Boca Raton, Florida.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 8 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, Series 57TO, SIE, Series 87, Series 55, Series 7, Series 24, Series 53, Series 28 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Doug Kaiser
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.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Fulton Kaiser'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®
NoneExperience
Current
March 26, 2010 - Present
WESTPARK CAPITAL, INC.
Office #1: 225 Ne Mizner Blvd Suite 530, Boca Raton, FL 33432RIA
BD
CRD#: 39914
Boca Raton, FL
Past
March 21, 2005 - November 19, 2012
DAWSON JAMES SECURITIES, INC.
BD
CRD#: 130645
BOCA RATON, FL
Past
December 12, 2000 - April 15, 2005
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
November 20, 2000 - January 9, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
BD
CRD#: 41506
BOCA RATON, FL
Past
September 26, 1991 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
BD
CRD#: 3949
BOCA RATON, FL
Past
July 6, 1988 - August 20, 1991
G. K. SCOTT & CO., INC.
BD
CRD#: 3305
PLAINVIEW, NY
Past
December 11, 1987 - June 20, 1988
BRENNAN ROSS SECURITIES, INC.
BD
CRD#: 18363
Past
September 10, 1987 - March 11, 1988
THE STUART-JAMES COMPANY, INCORPORATED
BD
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".
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
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)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
California(3/30/2010)
RR
Florida(3/30/2010)
RR
Georgia(4/8/2010)
RR
Idaho(3/29/2010)
RR
Mississippi(4/20/2010)
RR
New York(4/5/2010)
RR
Oklahoma(7/6/2010)
RR
Rhode Island(3/30/2010)
RR
Tennessee(4/19/2023)
RR
Wyoming(4/5/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/28/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 10/30/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
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)BD
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
15
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
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.
Company Information
WESTPARK CAPITAL, INC.
CRD#: 39914Boca Raton, FL 33432TRUST BUT VERIFY
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