TM
Thomas M. Mcgivern
WESTPARK CAPITAL
Boca Raton, FL 33432
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CRD#: 1961761
TM
Professional summary
Thomas More Mcgivern is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Boca Raton, Florida.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 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 Thomas More Mcgivern'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 15, 2021 - Present
WESTPARK CAPITAL, INC.
Office #1: 225 Ne Mizner Blvd Suite 530, Boca Raton, FL 33432RIA
BD
CRD#: 39914
Boca Raton, FL
Past
March 7, 2012 - March 11, 2015
EVERCORE GROUP L.L.C.
BD
CRD#: 42405
SAN FRANCISCO, CA
Past
September 12, 2011 - January 27, 2012
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
NEW YORK, NY
Past
May 10, 2007 - January 24, 2011
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
SAN FRANCISCO, CA
Past
December 5, 2005 - April 23, 2007
NOLLENBERGER CAPITAL PARTNERS INC.
BD
CRD#: 119248
SAN FRANCISCO, CA
Past
September 17, 2001 - November 3, 2005
FULCRUM GLOBAL PARTNERS LLC
BD
CRD#: 104455
NEW YORK, NY
Past
May 20, 1999 - May 29, 2001
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
May 22, 1997 - October 28, 1998
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
July 18, 1989 - May 19, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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.
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(8/4/2022)
RR
Florida(9/24/2023)
RR
New York(8/4/2022)
RR
Pennsylvania(11/23/2022)
RR
Texas(11/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/15/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General 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 (22 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
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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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