James W. Reed

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CRD#: 2530894

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Walker Reed, who also goes by Walker Reed, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1994. James had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Walker Reed

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®

None

Experience

Past

March 2, 2018 - May 12, 2020

WESTPARK CAPITAL, INC.

CRD#: 39914

Newport Beach, CA

Past

November 12, 2015 - January 10, 2017

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153

LAGUNA NIGUEL, CA

Past

November 6, 2015 - January 11, 2017

TCFG INVESTMENT ADVISORS, LLC

RIA

CRD#: 166606

LAGUNA NIGUEL, CA

Past

July 21, 2014 - October 16, 2014

MORRIS FINANCIAL, INC.

CRD#: 18561

NEWPORT BEACH, CA

Past

October 30, 2013 - July 8, 2014

FINANCIAL WEST GROUP

RIA

CRD#: 16668

LAGUNA BEACH, CA

Past

October 30, 2013 - July 8, 2014

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

July 13, 2009 - November 8, 2013

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

COSTA MESA, CA

Past

February 5, 2009 - November 8, 2013

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

COSTA MESA, CA

Past

January 22, 2004 - February 25, 2009

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEWPORT BEACH, CA

Past

May 7, 2001 - January 26, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LAGUNA BEACH, CA

Past

December 6, 2000 - January 26, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 13, 1997 - December 7, 2000

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 6, 1996 - June 17, 1997

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

November 21, 1994 - February 16, 1996

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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

IAR

Series 65

Date: 7/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1994

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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Advisor Monitoring

Firm Stability Insights

James W. Reed

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TCFG WEALTH MANAGEMENT, LLC

TCFG INVESTMENT ADVISORS, LLC

MORRIS FINANCIAL, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

NEWPORT COAST SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

A. G. EDWARDS & SONS, INC.

NEWPORT COAST SECURITIES, INC.

EDWARD JONES

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/2009

Series 63

Date: 11/23/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/18/1994

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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