Philip W. Stietzel

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CRD#: 2987490

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.

Philip William Stietzel was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1998. Philip had worked at 10 firms and has passed the Series 63, SIE and Series 7 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 10, 2016 - June 29, 2018

WESTPARK CAPITAL, INC.

CRD#: 39914

Fort Lauderdale, FL

Past

March 25, 2015 - August 26, 2016

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

FORT LAUDERDALE, FL

Past

October 19, 2012 - March 30, 2015

STONEX SECURITIES INC.

CRD#: 18456

FT. LAUDERDALE, FL

Past

October 19, 2007 - October 24, 2012

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

FT. LAUDERDALE, FL

Past

August 25, 2004 - October 30, 2007

CAPITAL GROWTH FINANCIAL, LLC

CRD#: 41040

BOCA RATON, FL

Past

February 21, 2002 - August 25, 2004

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

November 27, 2001 - March 7, 2002

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

Past

August 31, 2001 - November 26, 2001

BLUESTONE CAPITAL CORP.

CRD#: 13516

NEW YORK, NY

Past

November 10, 2000 - August 31, 2001

SSI SECURITIES CORP.

CRD#: 8275

BOCA RATON, FL

Past

December 2, 1998 - January 2, 2001

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, 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: 3/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/22/1998

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

Philip W. Stietzel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEWPORT COAST SECURITIES, INC.

STONEX SECURITIES INC.

NEWBRIDGE SECURITIES CORPORATION

CAPITAL GROWTH FINANCIAL, LLC

THE CONCORD EQUITY GROUP, LLC

SANDS BROTHERS & CO., LTD.

BLUESTONE CAPITAL CORP.

SSI SECURITIES CORP.

GKN SECURITIES CORP.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/22/1999

SIE

Date: 6/29/2018

Series 7

Date: 11/22/1998

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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