Brandon M. Ross

WESTPARK CAPITAL

NEW YORK, NY 10017

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CRD#: 2188184

Professional summary

Brandon Michael Ross is a registered financial professional currently at WESTPARK CAPITAL, INC. located in New York, New York.

Brandon is registered as a RR (Registered Representative) and started their career in finance in 1991. Brandon has worked at 13 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Brandon Michael Ross'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 8, 2024 - Present

WESTPARK CAPITAL, INC.

Office #1: 535 5th Ave. 22nd Floor, New York, NY 10017

RIA

CRD#: 39914

NEW YORK, NY

Past

October 21, 2019 - November 10, 2023

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

December 3, 2018 - June 21, 2019

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

NEW YORK, NY

Past

November 15, 2013 - December 3, 2018

WESTPARK CAPITAL, INC.

CRD#: 39914

NEW YORK, NY

Past

September 12, 2013 - December 11, 2013

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

BOCA RATON, FL

Past

October 11, 2005 - September 16, 2011

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

NEW YORK, NY

Past

October 12, 2004 - June 30, 2005

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

September 7, 2004 - October 20, 2004

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

February 26, 2004 - September 3, 2004

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

December 3, 2002 - May 13, 2003

SHORELINE PACIFIC, LLC

CRD#: 104417

SAN FRANCISCO, CA

Past

December 21, 2001 - March 20, 2002

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

August 11, 2000 - August 28, 2001

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

Past

October 20, 1998 - August 28, 2000

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

February 22, 1994 - October 29, 1998

BARINGTON CAPITAL GROUP, L.P.

CRD#: 29383

NEW YORK, NY

Past

November 18, 1992 - March 4, 1994

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

January 7, 1992 - November 23, 1992

D. H. BLAIR & CO., INC.

CRD#: 6833

NEW YORK, NY

Past

November 12, 1991 - December 18, 1991

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, 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".

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

California
(5/8/2024)

Connecticut
(5/8/2024)

Florida
(5/8/2024)

Illinois
(5/8/2024)

Maryland
(5/8/2024)

Massachusetts
(5/8/2024)

Nevada
(3/11/2025)

New Jersey
(5/8/2024)

New York
(5/8/2024)

Pennsylvania
(5/8/2024)

Texas
(5/8/2024)

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: 11/14/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/26/2007

General Securities Principal 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)

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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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Advisor Monitoring

Firm Stability Insights

Brandon M. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brandon Michael Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOSEPH GUNNAR & CO. LLC

DAWSON JAMES SECURITIES, INC.

WESTPARK CAPITAL, INC.

DAWSON JAMES SECURITIES, INC.

DAWSON JAMES SECURITIES, INC.

MAXIM GROUP LLC

KIRLIN SECURITIES INC.

KIRLIN SECURITIES INC.

SHORELINE PACIFIC, LLC

COMMONWEALTH ASSOCIATES

GKN SECURITIES CORP.

LADENBURG THALMANN & CO. INC.

BARINGTON CAPITAL GROUP, L.P.

H.J. MEYERS & CO., INC.

D. H. BLAIR & CO., INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/1991

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/11/1991

Series 24

Date: 5/26/2007

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

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