Clifford A. Schwartz

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CRD#: 2173244

Professional summary

Clifford Alan Schwartz was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Clifford Alan Schwartz, who also goes by Cliff Schwartz, was a registered financial advisor .

Clifford is a previously registered financial advisor and started their career in finance in 1992. Clifford had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cliff Schwartz

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 249

BOCA RATON, FL

Past

April 15, 2005 - March 2, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAKE WORTH, FL

Past

April 1, 2005 - March 2, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAKE WORTH, FL

Past

June 22, 2004 - February 28, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

FORT LAUDERDALE, FL

Past

June 16, 2004 - February 28, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

May 19, 2004 - June 10, 2004

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

October 23, 2003 - April 22, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

October 1, 2000 - October 8, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WEST PALM BEACH, FL

Past

October 1, 2000 - October 8, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 4, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

March 18, 1999 - May 3, 2000

J. B. HANAUER & CO.

CRD#: 6958

PARSIPPANY, NJ

Past

February 22, 1999 - March 16, 1999

J. B. HANAUER & CO.

CRD#: 6958

Past

January 6, 1992 - February 18, 1999

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/19/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/26/1991

General Securities Representative Examination

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)

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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

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.

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Firm Stability Insights

Clifford A. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTPARK CAPITAL, INC.

GMS GROUP

WESTPARK CAPITAL, INC.

HERBERT J. SIMS & CO, INC.

WESTPARK CAPITAL, INC.

TRUIST INVESTMENT SERVICES, INC.

DAWSON JAMES SECURITIES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

DAWSON JAMES SECURITIES, INC.

FMSBONDS, INC.

OPPENHEIMER & CO. INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

NATIONAL SECURITIES CORPORATION

QUICK & REILLY, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

J. B. HANAUER & CO.

J. B. HANAUER & CO.

RYAN BECK & CO.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/2/1992

SIE

Date: 7/19/2017

Series 7

Date: 12/26/1991

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

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