Randy B. Fields

Some features on this profile are disabled

CRD#: 2764279

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.

Randy Brett Fields was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 1996. Randy had worked at 16 firms and has passed the Series 63, Series 65, 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)

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

August 31, 2016 - June 27, 2017

WESTPARK CAPITAL, INC.

CRD#: 39914

NEW YORK, NY

Past

December 18, 2015 - September 23, 2016

LEGEND SECURITIES, INC.

CRD#: 44952

NEW YORK, NY

Past

September 22, 2015 - December 17, 2015

OLYMPUS SECURITIES, LLC

CRD#: 114050

NEW YORK, NY

Past

March 3, 2015 - September 18, 2015

HALCYON CABOT PARTNERS, LTD.

CRD#: 32664

NEW YORK, NY

Past

February 4, 2014 - March 18, 2015

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

January 10, 2012 - January 28, 2014

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580

NEW YORK, NY

Past

May 2, 2007 - January 18, 2012

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

August 24, 2006 - May 17, 2007

WESTROCK ADVISORS, INC.

CRD#: 114338

NEW YORK, NY

Past

May 20, 2004 - August 25, 2006

LEGEND MERCHANT GROUP, INC.

CRD#: 5155

NEW YORK, NY

Past

January 27, 2003 - May 17, 2004

STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED

CRD#: 5133

GARDEN CITY, NY

Past

November 20, 2002 - February 3, 2003

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

January 14, 2002 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

Past

September 28, 2001 - January 25, 2002

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

September 13, 2000 - March 12, 2001

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

May 23, 1997 - March 27, 1998

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

August 30, 1996 - May 29, 1997

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

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: 11/3/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/16/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 6/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/2002

General Securities Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Randy B. Fields

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEGEND SECURITIES, INC.

OLYMPUS SECURITIES, LLC

HALCYON CABOT PARTNERS, LTD.

GILFORD SECURITIES INCORPORATED

AXIOM CAPITAL MANAGEMENT, INC.

AEGIS CAPITAL CORP.

WESTROCK ADVISORS, INC.

LEGEND MERCHANT GROUP, INC.

STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED

LADENBURG THALMANN & CO. INC.

LADENBURG CAPITAL MANAGEMENT INC.

HAPOALIM SECURITIES USA, INC.

SCHNEIDER SECURITIES, INC.

CIBC WORLD MARKETS CORP.

INVESTORS ASSOCIATES, INC.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/2000

Series 65

Date: 7/16/1997

SIE

Date: 6/27/2017

Series 7

Date: 9/12/2000

Series 24

Date: 8/23/2002

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

Similar Advisors