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AA

Antonio E. Arce

WESTPARK CAPITAL
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 4498642
AA

Professional summary

Antonio Eduardo Arce III, who also goes by Antonio Eduardo Arce III, Ed Arce, is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Boca Raton, Florida.

Antonio is registered as a RR (Registered Representative) and started their career in finance in 2002. Antonio has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Antonio Eduardo Arce Iii | Ed Arce

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 Antonio Eduardo Arce III'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

July 16, 2025 - Present

WESTPARK CAPITAL, INC.

Office #1: 225 Ne Mizner Blvd Suite 530, Boca Raton, FL 33432
RIA
BD
CRD#: 39914
Boca Raton, FL
Past

July 8, 2015 - May 15, 2025

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

December 10, 2013 - February 26, 2015

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEW YORK, NY
Past

April 8, 2011 - November 19, 2013

MLV & CO. LLC

BD
CRD#: 150959
NEW YORK, NY
Past

August 18, 2010 - March 2, 2011

WEDBUSH SECURITIES INC.

BD
CRD#: 877
NEW YORK, NY
Past

May 4, 2007 - May 21, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 1, 2005 - May 2, 2007

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

March 7, 2002 - April 10, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 7, 2002 - April 10, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
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".
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
California
(7/16/2025)
RR
Florida
(7/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/22/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/10/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 10/12/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 10/6/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 8/31/2005
General Securities Representative Examination
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 (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
WESTPARK CAPITAL GROUP LLCSHAREHOLDER
BELICEK, REBECCA JANECHIEF COMPLIANCE OFFICER2106922
KAISER, AMY FARRENFINOP2992346
RAPPAPORT, RICHARD ALYNCHIEF EXECUTIVE OFFICER1885122

Regulatory assets under management

Total Number of Accounts234
AUM (Assets Under Management)$ 47,569,260

Disclosures

Regulatory Event14
Arbitration2

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.

Company Information

WESTPARK CAPITAL, INC.

CRD#: 39914Boca Raton, FL 33432

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