PW
Paul C. Westhead
RIMROCK CAPITAL MANAGEMENT LLC
Irvine, CA 92617-3040
Some features on this profile are disabled
CRD#: 2332811
PW
Professional summary
Paul Cyril Westhead, who also goes by Paul Westhead, is a registered financial advisor currently at RIMROCK CAPITAL MANAGEMENT LLC located in Irvine, California and FORESIDE FINANCIAL SERVICES, LLC located in Irvine, California.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Paul has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Westhead
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.
1) Rimrock Capital Management LLC; Irvine, CA; Investment Related; Investment Management; Start Date 7/1/2004; Managing Director; Responsible for the overall management of the business, as well as the strategic development, marketing and investor relations efforts of the firm; 160 Hours Per Month; 0 hours during securities trading hours. 2) Orange County Community Foundation; Newport Beach, CA; Not Investment Related; Community Foundation; Start Date 7/1/2019; Board of Governors; Member of the Board of Governors overseeing the strategic plan for a community foundation; 5 Hours per month; 0 Hours during securities trading hours. 3) Baker Street Advisors, LLC; Not Investment Related; San Francisco, CA; Wealth Manager; Advisory Board; 2/21 Start Date; 1 hour per month; 0 during trading hours. Volunteer Advisory Board that discusses broad asset class issues.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Cyril Westhead'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
May 10, 2006 - Present
RIMROCK CAPITAL MANAGEMENT LLC
Office #1: 100 Innovation Drive Suite 200, Irvine, CA 92617-3040RIA
CRD#: 120410
Irvine, CA
Current
January 2, 2020 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 100 Innovation Drive Suite 200, Irvine, CA 92675BD
CRD#: 148477
Irvine, CA
Past
December 22, 2014 - December 31, 2019
DLX FINANCIAL GROUP, LLC
BD
CRD#: 158690
MEDFORD, OR
Past
March 8, 2004 - July 15, 2004
OCM INVESTMENTS, LLC
BD
CRD#: 128803
LOS ANGELES, CA
Past
November 5, 1996 - August 4, 2000
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
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".
RC
RIMROCK CAPITAL MANAGEMENT LLC
RIMROCK CAPITAL MANAGEMENT LLC
CRD#: 120410 / SEC#: 801-65109
RIA
Registered Investment Advisory firm - (1/5/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(1/3/2020)
RR
Alaska(1/3/2020)
RR
Arizona(1/3/2020)
RR
Arkansas(1/3/2020)
IAR
California(5/10/2006)
RR
California(1/2/2020)
RR
Colorado(1/3/2020)
RR
Connecticut(1/3/2020)
RR
Delaware(1/3/2020)
RR
District of Columbia(1/3/2020)
RR
Florida(1/3/2020)
RR
Georgia(1/3/2020)
RR
Hawaii(1/3/2020)
RR
Idaho(1/3/2020)
RR
Illinois(1/3/2020)
RR
Indiana(1/3/2020)
RR
Iowa(1/3/2020)
RR
Kansas(1/3/2020)
RR
Kentucky(1/3/2020)
RR
Louisiana(1/3/2020)
RR
Maine(1/3/2020)
RR
Maryland(1/3/2020)
RR
Massachusetts(1/3/2020)
RR
Michigan(1/3/2020)
RR
Minnesota(1/3/2020)
RR
Mississippi(1/3/2020)
RR
Missouri(1/3/2020)
RR
Montana(1/3/2020)
RR
Nebraska(1/3/2020)
RR
Nevada(1/3/2020)
RR
New Hampshire(1/3/2020)
RR
New Jersey(1/3/2020)
RR
New Mexico(1/3/2020)
RR
New York(1/3/2020)
RR
North Carolina(1/3/2020)
RR
North Dakota(1/3/2020)
RR
Ohio(1/3/2020)
RR
Oklahoma(1/3/2020)
RR
Oregon(1/3/2020)
RR
Pennsylvania(1/3/2020)
RR
Rhode Island(1/3/2020)
RR
South Carolina(1/3/2020)
RR
South Dakota(1/3/2020)
RR
Tennessee(1/3/2020)
RR
Texas(1/3/2020)
RR
Utah(1/3/2020)
RR
Vermont(1/3/2020)
RR
Virginia(1/3/2020)
RR
Washington(1/3/2020)
RR
West Virginia(1/3/2020)
RR
Wisconsin(1/3/2020)
RR
Wyoming(1/3/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RC
RIMROCK CAPITAL MANAGEMENT LLC
RIMROCK CAPITAL MANAGEMENT LLC
CRD#: 120410 / SEC#: 801-65109
RIA
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Contact information
Main Address
100 Innovation Drive Suite 200, Irvine, CA 92617-3040
Mailing Address
Phone number
(949) 381-7800
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 4,023,028,710 |
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.
