GM
Gary T. Madrid
WESTPARK CAPITAL
Irvine, CA 92614
Some features on this profile are disabled
CRD#: 1934700
GM
Professional summary
Gary Thomas Madrid is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Irvine, California.
Gary is registered as a RR (Registered Representative) and started their career in finance in 1989. Gary has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Gary Thomas Madrid'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
July 20, 2016 - Present
WESTPARK CAPITAL, INC.
Office #1: 2030 Main Street Suite 210, Irvine, CA 92614RIA
BD
CRD#: 39914
Irvine, CA
Past
June 4, 2008 - July 28, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
IRVINE, CA
Past
July 11, 2007 - June 11, 2008
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
IRVINE, CA
Past
November 23, 1994 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past
November 29, 1990 - November 28, 1994
TOLUCA PACIFIC SECURITIES CORP.
BD
CRD#: 13875
BURBANK, CA
Past
July 20, 1990 - October 29, 1990
WHITEHALL INVESTMENT SECURITIES, LTD.
BD
CRD#: 21312
Past
June 20, 1989 - July 18, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
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
Arizona(9/2/2016)
RR
California(7/20/2016)
RR
Colorado(9/27/2016)
RR
Florida(7/20/2016)
RR
Georgia(7/29/2016)
RR
Idaho(7/20/2016)
RR
Kansas(7/20/2016)
RR
Louisiana(7/20/2016)
RR
Minnesota(8/1/2016)
RR
Nevada(7/20/2016)
RR
New Jersey(7/20/2016)
RR
New Mexico(11/9/2020)
RR
New York(7/20/2016)
RR
Ohio(7/20/2016)
RR
Oregon(8/24/2016)
RR
Texas(7/20/2016)
RR
Utah(7/20/2016)
RR
Virginia(7/29/2016)
RR
Washington(7/20/2016)
RR
Wisconsin(7/20/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
