John P. Mcauliffe

WESTPARK CAPITAL

Los Angeles, CA 90067

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CRD#: 726206

Professional summary

John Paul Mcauliffe, who also goes by John P Mcauliffe, is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Los Angeles, California.

John is registered as a RR (Registered Representative) and started their career in finance in 1981. John has worked at 14 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John P Mcauliffe

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 John Paul Mcauliffe'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

September 11, 2023 - Present

WESTPARK CAPITAL, INC.

Office #1: 1800 Century Park East Suite 220, Los Angeles, CA 90067

RIA

CRD#: 39914

Los Angeles, CA

Past

October 19, 2020 - September 11, 2023

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

St. Petersburg, FL

Past

February 7, 2019 - September 29, 2020

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

February 16, 2018 - February 8, 2019

WESTPARK CAPITAL, INC.

CRD#: 39914

LOS ANGELES, CA

Past

November 7, 2017 - January 17, 2018

VIEWTRADE SECURITIES, INC.

CRD#: 46987

BOCA RATON, FL

Past

May 11, 2012 - November 8, 2017

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

PONTE VEDRA BEACH, FL

Past

October 4, 2010 - January 3, 2012

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

February 23, 2009 - July 28, 2010

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

PONTE VEDRA BEACH, FL

Past

September 8, 2008 - February 18, 2009

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

BOCA RATON, FL

Past

March 7, 2007 - September 5, 2008

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

November 24, 2006 - March 7, 2007

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

July 11, 2005 - November 29, 2006

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

August 6, 2001 - October 24, 2003

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

October 22, 1998 - July 9, 2001

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

November 18, 1985 - October 5, 1998

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

October 2, 1984 - December 5, 1985

MICHAEL C. TALLEY & CO., INC.

CRD#: 8679

Past

July 20, 1983 - September 24, 1984

KOBRIN SECURITIES, INC.

CRD#: 10204

Past

March 23, 1981 - June 8, 1983

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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

California
(2/23/2024)

Connecticut
(4/11/2024)

Florida
(9/18/2023)

Georgia
(4/5/2024)

Louisiana
(2/26/2024)

New Jersey
(9/18/2023)

New York
(9/23/2023)

Texas
(9/12/2023)

Virginia
(9/18/2023)

Washington
(12/5/2025)

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: 1/28/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/3/1986

General Securities Principal 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

John P. Mcauliffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Paul Mcauliffe's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTPARK CAPITAL, INC.

PAULSON INVESTMENT COMPANY LLC

NEWBRIDGE SECURITIES CORPORATION

WESTPARK CAPITAL, INC.

VIEWTRADE SECURITIES, INC.

NEWBRIDGE SECURITIES CORPORATION

FINANCIAL WEST GROUP

NEWBRIDGE SECURITIES CORPORATION

JESUP & LAMONT SECURITIES CORP

NEWBRIDGE SECURITIES CORPORATION

CAPITOL SECURITIES MANAGEMENT, INC.

THE CONCORD EQUITY GROUP, LLC

KIRLIN SECURITIES INC.

SCHNEIDER SECURITIES, INC.

H.J. MEYERS & CO., INC.

MICHAEL C. TALLEY & CO., INC.

KOBRIN SECURITIES, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

WESTPARK CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/1998

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/21/1981

Series 24

Date: 10/3/1986

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.

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