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LF

Lawrence J. Fawcett

Some features on this profile are disabled
CRD#: 5851474
LF

Professional summary

Lawrence John Fawcett JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lawrence is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Lawrence had worked at 5 firms, which includes WESTPARK CAPITAL INC., SW FINANCIAL, ROCKWELL GLOBAL CAPITAL LLC, JOHN THOMAS FINANCIAL, EKN FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Fawcett Jr | Lawrence John Fawcett

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

June 26, 2015 - March 6, 2018

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
NEW YORK, NY
Past

September 25, 2013 - June 29, 2015

SW FINANCIAL

BD
CRD#: 145012
FARMINGDALE, NY
Past

June 11, 2013 - September 24, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

April 1, 2013 - June 11, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

August 31, 2012 - April 18, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
NEW YORK, NY
Past

April 9, 2012 - August 28, 2012

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/2012
General Securities Representative Examination

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#: 39914

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