Daniel S. Rosado

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CRD#: 2764960

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.

Daniel Steven Rosado JR, who also goes by Daniel Steven Rosado, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Steven Rosado

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 31, 2015 - July 12, 2016

WESTPARK CAPITAL, INC.

CRD#: 39914

BOCA RATON, FL

Past

February 19, 2010 - August 27, 2014

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

April 24, 2008 - March 2, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

FARMINGDALE, NY

Past

March 17, 2008 - April 25, 2008

JOSEPH STEVENS & CO., INC.

CRD#: 35459

MELVILLE, NY

Past

August 22, 2007 - March 17, 2008

BASIC INVESTORS INC.

CRD#: 1187

MELVILLE, NY

Past

May 25, 2005 - September 12, 2007

JOSEPH STEVENS & CO., INC.

CRD#: 35459

MELVILLE, NY

Past

April 21, 2005 - May 20, 2005

WESTROCK ADVISORS, INC.

CRD#: 114338

NEW YORK, NY

Past

July 30, 2002 - April 25, 2005

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

September 6, 2001 - August 13, 2002

W.A. CAPITAL MARKETS

CRD#: 6292

NEW YORK, NY

Past

May 26, 2000 - March 30, 2001

LLOYD, SCOTT & VALENTI, LTD.

CRD#: 23640

AUSTIN, TX

Past

December 9, 1999 - April 28, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 9, 1999 - April 28, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

November 11, 1998 - April 12, 1999

BELL INVESTMENT GROUP, INC.

CRD#: 44749

NEW YORK, NY

Past

February 19, 1998 - November 2, 1998

ARJENT LTD.

CRD#: 35909

NEW YORK, NY

Past

June 27, 1997 - December 15, 1997

ROYAL HUTTON SECURITIES CORP.

CRD#: 14489

NEW YORK, NY

Past

June 12, 1997 - July 28, 1997

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

May 21, 1997 - July 28, 1997

INVESTORS ASSOCIATES, INC.

CRD#: 958

Past

April 21, 1997 - June 6, 1997

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

July 15, 1996 - April 18, 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: 7/25/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/12/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/13/1996

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 (22 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

Daniel S. Rosado

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTPARK CAPITAL, INC.

AEGIS CAPITAL CORP.

GUNNALLEN FINANCIAL, INC

JOSEPH STEVENS & CO., INC.

BASIC INVESTORS INC.

JOSEPH STEVENS & CO., INC.

WESTROCK ADVISORS, INC.

J.P. TURNER & COMPANY, L.L.C.

W.A. CAPITAL MARKETS

LLOYD, SCOTT & VALENTI, LTD.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

BELL INVESTMENT GROUP, INC.

ARJENT LTD.

ROYAL HUTTON SECURITIES CORP.

INVESTORS ASSOCIATES, INC.

INVESTORS ASSOCIATES, INC.

H.J. MEYERS & CO., INC.

INVESTORS ASSOCIATES, INC.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/1996

SIE

Date: 7/12/2016

Series 7

Date: 7/13/1996

Current Firm

WESTPARK CAPITAL, INC.

Contact information

SEC notice filing (22 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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