Sameh Ismail

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CRD#: 2958771

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.

Sameh Ismail, who also goes by Sameh Azizshaker Ismail, was a registered financial professional .

Sameh is a previously registered financial professional and started their career in finance in 1997. Sameh had worked at 17 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sameh Azizshaker Ismail

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

January 30, 2017 - April 20, 2017

WESTPARK CAPITAL, INC.

RIA

CRD#: 39914

Irvine, CA

Past

January 30, 2017 - April 20, 2017

WESTPARK CAPITAL, INC.

CRD#: 39914

Irvine, CA

Past

April 8, 2015 - June 4, 2015

SHARIAPORTFOLIO, INC.

RIA

CRD#: 173937

LAKE MARY, FL

Past

July 24, 2013 - February 12, 2015

SATURNA CAPITAL CORPORATION

RIA

CRD#: 25586

BELLINGHAM, WA

Past

January 11, 2013 - February 12, 2015

SATURNA BROKERAGE SERVICES, INC

CRD#: 18437

BELLINGHAM, WA

Past

January 21, 2011 - December 20, 2011

FSC SECURITIES CORPORATION

CRD#: 7461

SCOTTSDALE, AZ

Past

October 8, 2009 - December 2, 2009

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

SCOTTSDALE, AZ

Past

September 29, 2008 - November 18, 2009

HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 107773

SCOTTSDALE, AZ

Past

September 9, 2008 - October 5, 2009

OSAIC SERVICES, INC.

CRD#: 133763

CHANDLER, AZ

Past

August 21, 2007 - September 4, 2008

COUNTRYWIDE INVESTMENT SERVICES, INC.

RIA

CRD#: 103919

PHOENIX, AZ

Past

August 7, 2006 - September 4, 2008

COUNTRYWIDE INVESTMENT SERVICES, INC.

CRD#: 103919

PHOENIX, AZ

Past

November 29, 2004 - June 1, 2005

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

April 21, 2003 - August 19, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

November 17, 2000 - April 30, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 18, 2000 - November 6, 2000

CASTLE SECURITIES CORP.

CRD#: 16077

FREEPORT, NY

Past

November 23, 1999 - May 2, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

March 16, 1999 - December 2, 1999

CASTLE SECURITIES CORP.

CRD#: 16077

FREEPORT, NY

Past

April 15, 1998 - December 9, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 28, 1997 - March 18, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 28, 1997 - March 18, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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 66

Date: 6/26/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/31/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/1997

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

Sameh Ismail

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTPARK CAPITAL, INC.

SHARIAPORTFOLIO, INC.

SATURNA CAPITAL CORPORATION

SATURNA BROKERAGE SERVICES, INC

FSC SECURITIES CORPORATION

SECURITIES SERVICE NETWORK, LLC

HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

OSAIC SERVICES, INC.

COUNTRYWIDE INVESTMENT SERVICES, INC.

COUNTRYWIDE INVESTMENT SERVICES, INC.

WORLD GROUP SECURITIES, INC.

WADDELL & REED

CHARLES SCHWAB & CO., INC.

CASTLE SECURITIES CORP.

BANC ONE SECURITIES CORPORATION

CASTLE SECURITIES CORP.

MORGAN STANLEY DW INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/26/2013

Series 63

Date: 10/31/1997

SIE

Date: 4/20/2017

Series 7

Date: 10/27/1997

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.

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