Michael A. Hodges

WESTPARK CAPITAL

NEW YORK, NY 10017

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CRD#: 6493745

Professional summary

Michael Allen Hodges is a registered financial professional currently at WESTPARK CAPITAL, INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 7 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 79 and Series 7 exams.

Aliases

None

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 Michael Allen Hodges'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 8, 2026 - Present

WESTPARK CAPITAL, INC.

Office #1: 535 Fifth Ave 22nd Floor, New York, NY 10017

RIA

CRD#: 39914

NEW YORK, NY

Past

January 5, 2026 - June 4, 2026

KROLL SECURITIES LLC

CRD#: 36927

NEW YORK, NY

Past

March 12, 2025 - October 24, 2025

EDGEMONT CAPITAL PARTNERS, L.P.

CRD#: 122572

NEW YORK, NY

Past

October 11, 2023 - January 29, 2025

STOUT CAPITAL, LLC

CRD#: 127302

New York, NY

Past

October 30, 2020 - August 11, 2022

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

February 22, 2017 - April 27, 2017

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

September 19, 2016 - February 15, 2017

MIDTOWN PARTNERS

CRD#: 104223

NEW YORK, 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".

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.

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

New York
(7/8/2026)

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: 11/13/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 12/4/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 10/30/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/1/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/19/2016

General Securities Representative Examination

SRO Registrations

FINRA

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 (22 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

Michael A. Hodges

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Allen Hodges's CRS (Customer Relationship Summary).

Certified licenses

Experience

KROLL SECURITIES LLC

EDGEMONT CAPITAL PARTNERS, L.P.

STOUT CAPITAL, LLC

JOSEPH GUNNAR & CO. LLC

LADENBURG THALMANN & CO. INC.

MIDTOWN PARTNERS

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/13/2020

Series 79TO

Date: 12/4/2020

Series 7TO

Date: 10/30/2020

SIE

Date: 4/27/2017

Series 79

Date: 12/1/2016

Series 7

Date: 9/19/2016

FINRA

Current Firm

WESTPARK CAPITAL, INC.

Contact information

SEC notice filing (22 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.

TRUST BUT VERIFY

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