Amy F. Kaiser

WESTPARK CAPITAL

Los Angeles, CA 90067

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CRD#: 2992346

Professional summary

Amy Farren Kaiser, who also goes by Amy Farren Allen, Amy Leigh Farren, is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Los Angeles, California.

Amy is registered as a RR (Registered Representative) and started their career in finance in 2000. Amy has worked at 5 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Amy Farren Allen | Amy Leigh Farren

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) - BD

Click below to view Amy Farren Kaiser's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 18, 2024 - Present

WESTPARK CAPITAL, INC.

Office #1: 1800 Century Park East Suite 220, Los Angeles, CA 90067

RIA

CRD#: 39914

Los Angeles, CA

Past

September 11, 2012 - November 19, 2013

WESTPARK CAPITAL, INC.

CRD#: 39914

NEW YORK, NY

Past

May 1, 2009 - August 30, 2010

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

BOCA RATON, FL

Past

April 5, 2005 - May 17, 2007

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

BOCA RATON, FL

Past

December 12, 2000 - April 15, 2005

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

November 20, 2000 - December 20, 2000

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

BOCA RATON, FL

Past

January 24, 2000 - November 20, 2000

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

BOCA RATON, FL

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: 4/15/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 2/11/2025

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 8/20/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/26/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/18/2024

Financial and Operations Principal Examination

SRO Registrations

FINRA

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

Amy F. Kaiser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amy Farren Kaiser's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTPARK CAPITAL, INC.

DAWSON JAMES SECURITIES, INC.

DAWSON JAMES SECURITIES, INC.

NATIONAL SECURITIES CORPORATION

STERLING FINANCIAL INVESTMENT GROUP, INC.

JOSEPH CHARLES & ASSOC., INC.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/15/2000

Series 99TO

Date: 2/11/2025

Series 7TO

Date: 8/20/2024

SIE

Date: 7/26/2024

Series 7

Date: 1/22/2000

Series 27

Date: 6/18/2024

FINRA

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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