Adam D. Brown

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CRD#: 4506309

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.

Adam Dale Brown, who also goes by Adam Brown, was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 2002. Adam had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Adam Brown

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.

SOKAR FINANCIAL, INC. POSITION: Owner NATURE: Tax Purposes ONLY INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/14/2020 ADDRESS: 225 NE Mizner Blvd - Ste 750, Boca Raton FL 33432, United States DESCRIPTION: NONE - Tax purposes ONLY

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 16, 2022 - December 12, 2023

WESTPARK CAPITAL, INC.

RIA

CRD#: 39914

BOCA RATON, FL

Past

August 8, 2016 - December 12, 2023

WESTPARK CAPITAL, INC.

CRD#: 39914

BOCA RATON, FL

Past

September 14, 2015 - August 8, 2016

NEWPORT COAST SECURITIES, INC.

RIA

CRD#: 16944

FORT LAUDERDALE, FL

Past

August 21, 2015 - August 8, 2016

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

FORT LAUDERDALE, FL

Past

June 16, 2014 - September 16, 2015

DAWSON JAMES ASSET MANAGEMENT, INC.

RIA

CRD#: 135259

BOCA RATON, FL

Past

June 2, 2014 - September 16, 2015

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

BOCA RATON, FL

Past

March 28, 2013 - May 21, 2014

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

BOCA RATON, FL

Past

December 12, 2012 - May 21, 2014

SIGNATOR INVESTORS, INC.

CRD#: 468

BOCA RATON, FL

Past

January 12, 2011 - December 17, 2012

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

FORT LAUDERDALE, FL

Past

December 20, 2010 - December 17, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

FORT LAUDERDALE, FL

Past

December 14, 2009 - December 31, 2010

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

BOYTON BEACH, FL

Past

November 9, 2009 - December 31, 2010

KOVACK SECURITIES INC.

CRD#: 44848

BOYTON BEACH, FL

Past

September 10, 2009 - November 11, 2009

ESSEX SECURITIES LLC

CRD#: 46605

BOYNTON BEACH, FL

Past

July 11, 2008 - August 28, 2009

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

BOYNTON BEACH, FL

Past

June 18, 2007 - August 28, 2009

INVESTORS CAPITAL CORP.

CRD#: 30613

BOYNTON BEACH, FL

Past

June 6, 2002 - June 25, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

WEST PALM BEACH, FL

Past

June 6, 2002 - June 25, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WEST PALM BEACH, FL

Past

March 7, 2002 - May 22, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 7, 2002 - May 22, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

IAR

Series 65

Date: 8/13/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/16/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/6/2002

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Adam D. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTPARK CAPITAL, INC.

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

DAWSON JAMES ASSET MANAGEMENT, INC.

DAWSON JAMES SECURITIES, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

ESSEX SECURITIES LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/13/2022

Series 63

Date: 1/16/2004

SIE

Date: 10/1/2018

Series 7

Date: 6/4/2008

Series 6

Date: 3/6/2002

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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