AJ
Adam Jaffe
WESTPARK CAPITAL
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 3070455
AJ
Professional summary
Adam Jaffe, who also goes by Adam Michael Jaffe, is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Los Angeles, California.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2009. Adam has worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Adam Michael Jaffe
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.
CRS (Client Relationship Summary) - BD
Click below to view Adam Jaffe's 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®
NoneExperience
Current
December 19, 2024 - Present
WESTPARK CAPITAL, INC.
Office #1: 1800 Century Park East Suite 220, Los Angeles, CA 90067RIA
BD
CRD#: 39914
Los Angeles, CA
Past
July 13, 2021 - December 21, 2021
WESTPARK CAPITAL, INC.
BD
CRD#: 39914
Scottsdale, AZ
Past
August 1, 2019 - June 28, 2021
EMERSON EQUITY LLC
BD
CRD#: 130032
Scottsdale, AZ
Past
March 18, 2019 - August 21, 2019
BURCH & COMPANY, INC
BD
CRD#: 102280
KANSAS CITY, MO
Past
April 26, 2017 - March 14, 2019
SILBER BENNETT FINANCIAL, INC.
BD
CRD#: 156435
Scottsdale, AZ
Past
March 24, 2009 - November 11, 2016
WM. H. MURPHY & CO., INC.
BD
CRD#: 27274
Scottsdale, AZ
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".
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
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)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/27/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 3/27/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
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)BD
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
15
SEC notice filing (22 States and Territories)
FINRA licenses (53 States and Territories)
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.
