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WL

William D. Ludwick

WESTPARK CAPITAL
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 1971021
WL

Professional summary

William David Ludwick is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Los Angeles, California.

William is registered as a RR (Registered Representative) and started their career in finance in 1989. William has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William David Ludwick'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

May 6, 2024 - Present

WESTPARK CAPITAL, INC.

Office #1: 1800 Century Park East Suite 220, Los Angeles, CA 90067
RIA
BD
CRD#: 39914
Los Angeles, CA
Past

December 8, 2023 - February 16, 2024

EDWARD JONES

BD
CRD#: 250
Kentwood, MI
Past

September 15, 2010 - October 11, 2023

SAYBRUS EQUITY SERVICES, LLC

BD
CRD#: 153319
HARTFORD, CT
Past

June 25, 2009 - September 15, 2010

AXCELUS FINANCIAL DISTRIBUTION COMPANY

BD
CRD#: 38383
PHILADELPHIA, PA
Past

February 4, 2009 - April 28, 2009

AXCELUS FINANCIAL DISTRIBUTION COMPANY

BD
CRD#: 38383
PHILADELPHIA, PA
Past

April 24, 2003 - February 4, 2009

VP DISTRIBUTORS LLC

BD
CRD#: 3036
MIDDLEBURG HEIGHTS, OH
Past

April 4, 2002 - August 18, 2003

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

October 4, 2000 - April 15, 2002

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

July 6, 2000 - December 31, 2000

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

February 5, 1999 - June 5, 2000

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

May 11, 1998 - January 19, 1999

RONEY & CO.

BD
CRD#: 45091
DETROIT, MI
Past

October 11, 1992 - May 11, 1998

RONEY & CO. L.L.C.

BD
CRD#: 900
DETROIT, MI
Past

August 22, 1989 - February 28, 1991

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

August 22, 1989 - February 28, 1991

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
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.

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
Michigan
(5/6/2024)
RR
Ohio
(5/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/14/1994
General Securities Principal 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#: 39914Los Angeles, CA 90067

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