Kevin I. Zinn

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CRD#: 2544354

Professional summary

Kevin Irving Zinn was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Kevin had worked at 12 firms, which includes WESTPARK CAPITAL INC., TRADERIGHT SECURITIES INC., LH ROSS & COMPANY INC., CARDINAL CAPITAL MANAGEMENT INC., FIRST MONTAUK SECURITIES CORP., PRIME CHARTER LTD., INSTITUTIONAL EQUITY CORPORATION, CONTINENTAL BROKER-DEALER CORP., ITRADEDIRECT.COM CORP, THE INVESTMENT CENTER INC., FIRST UNION BROKERAGE SERVICES INC., CAMBRIDGE CAPITAL LLC.

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)

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

July 22, 2005 - January 12, 2006

WESTPARK CAPITAL, INC.

CRD#: 39914

BOCA RATON, FL

Past

February 1, 2005 - July 20, 2005

TRADERIGHT SECURITIES, INC.

CRD#: 45598

LOCKPORT, IL

Past

January 14, 2004 - February 3, 2005

LH ROSS & COMPANY, INC.

CRD#: 37920

BOCA RATON, FL

Past

September 5, 2002 - January 16, 2004

CARDINAL CAPITAL MANAGEMENT, INC.

CRD#: 24605

MIAMI, FL

Past

August 20, 2001 - September 6, 2002

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

July 3, 2000 - April 18, 2001

PRIME CHARTER LTD.

CRD#: 25668

NEW YORK, NY

Past

October 5, 1999 - July 10, 2000

INSTITUTIONAL EQUITY CORPORATION

CRD#: 19628

DALLAS, TX

Past

October 12, 1998 - October 19, 1999

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

August 5, 1998 - October 26, 1998

ITRADEDIRECT.COM CORP

CRD#: 18281

BOCA RATON, FL

Past

May 21, 1998 - August 6, 1998

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

February 14, 1998 - May 19, 1998

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

June 16, 1997 - December 3, 1997

CAMBRIDGE CAPITAL, LLC

CRD#: 41464

GARDEN CITY, NY

Past

October 17, 1994 - June 19, 1997

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, 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".

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: 10/24/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1994

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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Firm Stability Insights

Kevin I. Zinn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRADERIGHT SECURITIES, INC.

LH ROSS & COMPANY, INC.

CARDINAL CAPITAL MANAGEMENT, INC.

FIRST MONTAUK SECURITIES CORP.

PRIME CHARTER LTD.

INSTITUTIONAL EQUITY CORPORATION

CONTINENTAL BROKER-DEALER CORP.

ITRADEDIRECT.COM CORP

THE INVESTMENT CENTER, INC.

FIRST UNION BROKERAGE SERVICES, INC.

CAMBRIDGE CAPITAL, LLC

CONTINENTAL BROKER-DEALER CORP.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/1994

Series 7

Date: 10/15/1994

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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