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SS

Susan Sajjadi

WESTPARK CAPITAL
Irvine, CA 92614
Some features on this profile are disabled
CRD#: 1905789
SS

Professional summary

Susan Sajjadi is a registered financial advisor currently at WESTPARK CAPITAL, INC. located in Irvine, California.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Susan has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Susan Sajjadi's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Susan Sajjadi'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

January 2, 2025 - Present

WESTPARK CAPITAL, INC.

Office #1: 2030 Main Street Suite 210, Irvine, CA 92614
RIA
BD
CRD#: 39914
Irvine, CA
Current

December 4, 2019 - Present

WESTPARK CAPITAL, INC.

Office #1: 2030 Main Street Suite 210, Irvine, CA 92614
RIA
BD
CRD#: 39914
Irvine, CA
Past

July 18, 2018 - December 23, 2024

WESTPARK CAPITAL, INC.

RIA
CRD#: 39914
NEW YORK, NY
Past

July 19, 2016 - July 5, 2018

WESTPARK CAPITAL, INC.

RIA
CRD#: 39914
Newport Beach, CA
Past

July 19, 2016 - July 5, 2018

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
Newport Beach, CA
Past

February 9, 2015 - April 6, 2015

NEWPORT COAST ASSET MANAGEMENT, INC.

RIA
CRD#: 170311
IRVINE, CA
Past

January 31, 2013 - July 20, 2016

NEWPORT COAST SECURITIES, INC.

RIA
CRD#: 16944
NEWPORT BEACH, CA
Past

January 31, 2013 - July 20, 2016

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, NY
Past

June 7, 2007 - February 5, 2013

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
NEWPORT BEACH, CA
Past

May 25, 2007 - February 5, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NEWPORT BEACH, CA
Past

August 3, 2001 - May 31, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ANAHEIM, CA
Past

December 22, 2000 - May 31, 2007

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ANAHEIM, CA
Past

April 3, 1997 - December 18, 2000

SUTRO & CO. INCORPORATED

BD
CRD#: 801
SAN FRANCISCO, CA
Past

June 1, 1993 - April 3, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 24, 1989 - June 8, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, 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
(12/5/2019)
IAR
California
(1/2/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

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 Accounts234
AUM (Assets Under Management)$ 47,569,260

Disclosures

Regulatory Event14
Arbitration2

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#: 39914Irvine, CA 92614

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