RR
Richard A. Rappaport
WESTPARK CAPITAL
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 1885122
RR
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Rappaport | Rihcard Alyn Rappaport
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. PRESIDENT OF WESTPARK HOLDINGS LLC FAMILY OF COMPANIES 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
CRS (Client Relationship Summary) - RIA
Click below to view Richard Alyn Rappaport's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Alyn Rappaport'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
June 23, 2023 - Present
WESTPARK CAPITAL, INC.
Office #1: 1800 Century Park East Suite 220, Los Angeles, CA 90067RIA
BD
CRD#: 39914
Los Angeles, CA
Current
November 18, 1999 - Present
WESTPARK CAPITAL, INC.
Office #1: 1800 Century Park East Suite 220, Los Angeles, CA 90067RIA
BD
CRD#: 39914
Los Angeles, CA
Past
January 21, 2004 - December 22, 2021
WESTPARK CAPITAL, INC.
RIA
CRD#: 39914
NEW YORK, NY
Past
April 20, 1998 - October 15, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
March 1, 1995 - June 9, 1998
JOSEPH CHARLES & ASSOC., INC.
BD
CRD#: 3949
BOCA RATON, FL
Past
January 24, 1989 - March 13, 1995
MEYERS SECURITIES CORPORATION
BD
CRD#: 7183
ROCHESTER, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(6/3/2022)
IAR
California(6/23/2023)
RR
Colorado(1/7/2000)
RR
Florida(9/22/2000)
RR
Illinois(5/1/2007)
RR
New Jersey(9/8/2000)
RR
New York(5/5/2000)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/31/2002
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/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.
