Harry F. Radie

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CRD#: 369919

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.

Harry Francis Radie, who also goes by Harry F Radie, was a registered financial professional .

Harry is a previously registered financial professional and started their career in finance in 1970. Harry had worked at 15 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Harry F Radie

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 15, 2016 - June 29, 2018

WESTPARK CAPITAL, INC.

CRD#: 39914

Newport Beach, CA

Past

January 2, 2008 - July 20, 2016

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

IRVINE, CA

Past

June 26, 2007 - January 3, 2008

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

NEWPORT BEACH, CA

Past

June 26, 2007 - January 3, 2008

WEDBUSH SECURITIES INC.

CRD#: 877

NEWPORT BEACH, CA

Past

December 22, 1997 - June 27, 2007

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

IRVINE, CA

Past

August 15, 1995 - August 17, 1995

E*OFFERING

CRD#: 36717

SAN FRANCISCO, CA

Past

August 14, 1995 - June 27, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

May 23, 1995 - July 25, 1995

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

March 31, 1995 - May 26, 1995

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

August 28, 1990 - March 24, 1995

MEYERS SECURITIES CORPORATION

CRD#: 7183

ROCHESTER, NY

Past

October 18, 1989 - August 22, 1990

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

January 13, 1986 - October 19, 1989

NTB FINANCIAL CORPORATION

CRD#: 7425

HIGHLANDS RANCH, CO

Past

January 6, 1986 - January 16, 1986

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

March 14, 1985 - January 6, 1986

SECO SECURITIES, INC.

CRD#: 5363

Past

January 14, 1983 - March 11, 1985

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

Past

June 25, 1979 - January 25, 1983

SECO SECURITIES, INC.

CRD#: 5363

Past

November 30, 1976 - July 26, 1979

B. J. LEONARD AND COMPANY, INC.

CRD#: 62

Past

January 24, 1972 - October 4, 1976

INSTITUTIONAL SECURITIES OF COLORADO, INC.

CRD#: 5776

Past

September 21, 1970 - January 6, 1977

SECO SECURITIES, INC.

CRD#: 5363

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: 1/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 2/18/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/1989

General Securities Principal 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

Harry F. Radie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEWPORT COAST SECURITIES, INC.

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

BROOKSTREET SECURITIES CORPORATION

E*OFFERING

BROOKSTREET SECURITIES CORPORATION

INDEPENDENT FINANCIAL GROUP, LLC

H.J. MEYERS & CO., INC.

MEYERS SECURITIES CORPORATION

ROTH CAPITAL PARTNERS, LLC

NTB FINANCIAL CORPORATION

J. W. GANT & ASSOCIATES, INC.

SECO SECURITIES, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

SECO SECURITIES, INC.

B. J. LEONARD AND COMPANY, INC.

INSTITUTIONAL SECURITIES OF COLORADO, INC.

SECO SECURITIES, INC.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/25/1983

SIE

Date: 6/29/2018

Series 1

Date: 2/18/1970

Series 24

Date: 5/2/1989

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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