Thomas J. Harm

WESTPARK CAPITAL

Irvine, CA 92614

Some features on this profile are disabled

CRD#: 2093335

Professional summary

Thomas John Harm, who also goes by Tom Harm, is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Irvine, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Harm

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 Thomas John Harm'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

March 26, 2020 - Present

WESTPARK CAPITAL, INC.

Office #1: 2030 Main Street Suite 210, Irvine, CA 92614

RIA

CRD#: 39914

Irvine, CA

Past

May 24, 2016 - March 20, 2020

BMA SECURITIES, LLC

CRD#: 108219

EL SEGUNDO, CA

Past

January 19, 1999 - May 27, 2016

FINANCE 500, INC.

CRD#: 12981

IRVINE, CA

Past

October 4, 1995 - December 31, 1998

FINANCE 500, INC.

CRD#: 12981

Past

April 5, 1995 - May 18, 1995

ROBERT SCOTT SECURITIES, INC.

CRD#: 28180

Past

April 5, 1995 - February 14, 2011

CAMDEN FINANCIAL SERVICES

CRD#: 19925

KELLER, TX

Past

January 4, 1995 - January 24, 1995

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

December 2, 1993 - January 14, 1995

MONTANO SECURITIES CORPORATION

CRD#: 7887

ORANGE, CA

Past

January 1, 1991 - April 10, 1991

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

November 29, 1990 - January 25, 1991

TOLUCA PACIFIC SECURITIES CORP.

CRD#: 13875

BURBANK, CA

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".

WESTPARK CAPITAL, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(3/26/2020)

California
(3/26/2020)

Colorado
(3/27/2020)

Connecticut
(4/23/2020)

Hawaii
(3/26/2020)

Iowa
(3/30/2020)

Maryland
(4/22/2020)

Minnesota
(3/26/2020)

New Mexico
(11/5/2025)

New York
(5/22/2020)

Texas
(4/22/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/12/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/11/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/1/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WESTPARK CAPITAL, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (21 States and Territories)

FINRA licenses (53 States and Territories)

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

Name	Position	CRD#
WESTPARK CAPITAL GROUP LLC	SHAREHOLDER
BELICEK, REBECCA JANE	CHIEF COMPLIANCE OFFICER	2106922
KAISER, AMY FARREN	FINOP	2992346
RAPPAPORT, RICHARD ALYN	CHIEF EXECUTIVE OFFICER	1885122

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Harm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas John Harm's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMA SECURITIES, LLC

FINANCE 500, INC.

FINANCE 500, INC.

ROBERT SCOTT SECURITIES, INC.

CAMDEN FINANCIAL SERVICES

DICKINSON & CO.

MONTANO SECURITIES CORPORATION

CHATFIELD DEAN & CO., INC.

TOLUCA PACIFIC SECURITIES CORP.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/12/1994

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/11/2003

Series 7

Date: 12/1/1993

FINRA

Current Firm

WESTPARK CAPITAL, INC.

Contact information

SEC notice filing (21 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WESTPARK CAPITAL, INC.

TRUST BUT VERIFY

Similar Advisors