LC
Leonard H. Claus
WESTPARK WEALTH ADVISORS
Houston, TX 77077
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CRD#: 2373277
LC
Professional summary
Leonard Heinrich Claus, who also goes by Len Claus, is a registered financial advisor currently at WESTPARK WEALTH ADVISORS, INC. located in Houston, Texas and CALTON & ASSOCIATES, INC. located in Houston, Texas.
Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Leonard has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Len Claus
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) Name of Business: Alternate Health Decisions Foundation. Non-Investment related. Address: 3406 Cedar Lane, Kilgore, TX 75662. Nature of Business: Private Foundation Education. Position/Title/Relationship: Officer, President and Chairman of the Board. Start Date: 10/2015. Hours per month: 2 hours per week. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Execute the decisions of the board of directors. Non-profit foundation. Teach how to manage disease with a proper diet. 2) Name of Business: Investment Ideas. Non-Investment related. Address: 8518 San Juanico St., Houston, TX 77044. Nature of Business: DBA for Business income and expenses are consolidated for book of business management and tax purposes only. Position/Title/Relationship: Owner. Start Date: 12/2001. Hours per month: 4. Hours per month during Securities trading hours: 2 hours. Duties/Responsibilities: Investment Ideas was created to keep track of my business income and expenses. It is not used for marketing any products or services. 3) Name of Business: Westpark Wealth Advisors. Investment related. Address: 10205 Westheimer Rd., Suite 500, Houston, TX 77042. Nature of Business: DBA for fee-based services. Position/Title/Relationship: IAR. Start Date: 11/01/2019. Hours per month: 4. Hours per month during Securities trading hours: 4. Duties/Responsibilities: Provide fee-based services.
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Heinrich Claus'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
November 5, 2019 - Present
WESTPARK WEALTH ADVISORS, INC.
Office #1: 13111 Westheimer Rd. Suite 475, Houston, TX 77077RIA
CRD#: 130914
Houston, TX
Current
November 10, 2017 - Present
CALTON & ASSOCIATES, INC.
Office #1: 13111 Westheimer Road Suite 475, Houston, TX 77077RIA
BD
CRD#: 20999
Houston, TX
Past
June 20, 2001 - November 9, 2017
IMS SECURITIES, INC.
BD
CRD#: 35567
HOUSTON, TX
Past
March 17, 1995 - June 20, 2001
TRI-STAR FINANCIAL
BD
CRD#: 32458
HOUSTON, TX
Past
January 3, 1994 - February 22, 1995
PHOENIX GOVERNMENT INVESTMENTS, INC.
BD
CRD#: 34706
Past
July 1, 1993 - December 31, 1993
DESHLER-MORRIS SECURITIES, INC.
BD
CRD#: 25622
HOUSTON, TX
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".
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
Registered Investment Advisory firm - (4/28/2004 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
Arizona(4/5/2018)
RR
California(2/25/2019)
RR
Florida(2/25/2019)
IAR
Florida(1/27/2022)
RR
Indiana(4/5/2018)
IAR
Indiana(2/9/2022)
RR
Louisiana(6/24/2019)
RR
New Jersey(5/6/2019)
RR
North Dakota(10/29/2018)
RR
Oklahoma(4/5/2018)
RR
Pennsylvania(7/18/2019)
RR
South Carolina(4/5/2018)
RR
Texas(11/10/2017)
IAR
Texas(11/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
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Contact information
Main Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Mailing Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Phone number
(713) 266-2993
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 229,314,510 |
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.
