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Richard Alyn Rappaport

WESTPARK CAPITAL
LOS ANGELES, CA
·CRD# 1885122·37 years experience

Professional Summary

Richard Alyn Rappaport, who also goes by Rick Rappaport, Rihcard Alyn Rappaport, is a registered financial advisor currently at WESTPARK CAPITAL, INC. located in Los Angeles, California. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 4 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Rick Rappaport, Rihcard Alyn Rappaport

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

WESTPARK CAPITAL, INC.·CRD# 39914
RIA
BD
1800 Century Park East Suite 220, Los Angeles, CA 90067
June 23, 2023 - Present
WESTPARK CAPITAL, INC.·CRD# 39914
RIA
BD
1800 Century Park East Suite 220, Los Angeles, CA 90067
November 18, 1999 - Present
WESTPARK CAPITAL, INC.·CRD# 39914
RIA
New York, NY
January 21, 2004 - December 22, 2021
GLOBAL CAPITAL SECURITIES CORPORATION·CRD# 16184
BD
Englewood, CO
April 20, 1998 - October 15, 1999
JOSEPH CHARLES & ASSOC., INC.·CRD# 3949
BD
Boca Raton, FL
March 1, 1995 - June 9, 1998
MEYERS SECURITIES CORPORATION·CRD# 7183
BD
Rochester, NY
January 24, 1989 - March 13, 1995

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Current Firm

WC
WESTPARK CAPITAL, INC.

COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MENTOR SECURITIES, LLC | 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)
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).

Contact Information

Main Address

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

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

11

SEC notice filing (23 States and Territories)

Registered to provide investment advisory services in 23 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 23 US 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 (3/30/2026)

Direct owners and executive officers

NamePositionCRD#
WESTPARK CAPITAL GROUP LLCSHAREHOLDER—
BELICEK, REBECCA JANECHIEF COMPLIANCE OFFICER2106922
KAISER, AMY FARRENFINOP2992346
RAPPAPORT, RICHARD ALYNCHIEF EXECUTIVE OFFICER1885122

Regulatory Assets Under Management

Total Number of Accounts

265

AUM (Assets Under Management)

$53,077,941

Disclosures

Regulatory Event

15

Arbitration

2

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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.

JVRS ASSOCIATES-INV.PARTNERSHIP/PARTNER: START DATE 8/1985. INV RELATED-YES.3HOURS PER MONTH WORKING ON BOOKS. WESTPARK Capital Group LLC FAMILY OF COMPANIES - Investment Related - Managing Member - 1800 Century Park East Suite 220 Los Angeles, CA 90077 - Holding Company - Start Date 1/8/2021 - 0 hours during trading house - 2 hours per month total - WestPark Capital Group, LLC serves as the parent company of WestPark Capital, Inc. and other affiliated entities within the WestPark Family of Companies. WestPark Capital Group, LLC provides ownership oversight and administrative, financial, corporate, management, and support services to affiliated entities, and may receive management, consulting, administrative fees, capital distributions, reimbursements, and other payments in the ordinary course of business. SKETCHERS USA, INC. - DIRECTOR; NOT INVESTMENT-RELATED; START DATE: 9/10/10; HOURS DEVOTED PER MONTH: 2; HOURS DURING TRADING HOURS: 0 CENTURY ACQUISITIONS, LLC POSITION: Registered Agent; Manager NATURE: Holding Company INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/30/2014 ADDRESS: 1900 Avenue of the Stars, Suite 310, Los Angeles CA 90067, United States DESCRIPTION: Administrative AOTS-WRASP-SKRP POSITION: President/Mergers NATURE: public acquisitions; AOTS and WRASP and SRKP INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2004 ADDRESS: 1900 Avenue of the Stars, Suite 310, Los Angeles CA 90067, United States DESCRIPTION: public acquisitions STAR WEALTH ADVISORS POSITION: Consultant NATURE: It is a RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 09/24/2024 ADDRESS: 1800 Century Park Eastr, Suite 220, los angeles CA 90067, United States DESCRIPTION: General guidance

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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 | MENTOR SECURITIES, LLC | 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)
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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(6/3/2022)
RR
Colorado
(1/7/2000)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1994About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 2002

Series 7 — General Securities Representative Examination

Passed Jan 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 2004About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Richard Alyn Rappaport's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard Alyn Rappaport's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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RR
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