# WESTPARK CAPITAL, INC.

WESTPARK CAPITAL, INC. of LOS ANGELES, CA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 39914
- Type: SEC-registered investment adviser
- SEC file number: 801-108275
- Location: 1800 CENTURY PARK EAST, SUITE 220, LOS ANGELES, CA, 90067
- Phone: 310-843-9300
- Latest filing: 2026-06-03
- Regulatory AUM: $53.1M
- Discretionary AUM: $47.8M
- Non-discretionary AUM: $5.2M
- Clients: 11
- Accounts: 265

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Charities

## Officers, owners & control persons (16)

| Name | Role | Location |
| --- | --- | --- |
| Richard Alyn Rappaport | CHIEF EXECUTIVE OFFICER; MEMBER | — |
| Rebecca Jane Belicek | CHIEF COMPLIANCE OFFICER | — |
| Amy Farren Kaiser | FINOP | — |
| Jessica Barbey | CHIEF COMPLIANCE OFFICER | — |
| FITZPATRICK MARK ROBERT | CHIEF COMPLIANCE OFFICER | — |
| WISNIEWSKI SARAH MARIE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER - RIA | — |
| CORCE SARAH MARIE | CHIEF COMPLIANCE OFFICER - RIA | — |
| ONESTO RICHARD ERNEST | FINOP | — |
| RAPPAPORT RICHARD ALYN | CHIEF EXECUTIVE OFFICER; MEMBER | — |
| STERN JASON SCOTT | CHIEF OPERATING OFFICER; COO | — |
| TOCCO NICHOLAS JAMES | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| MORGAN WILLIAM ARTHUR | FINOP | — |
| SALVATORE FRANK NICHOLAS | PRINCIPAL | — |
| KRETSCHMER WENDY LOUISE | CHIEF EXECUTIVE OFFICER/ FINOP; FINOP; SENIOR EXECUTIVE OFFICER (+1 more) | — |
| RAPPAPORT AMANDA | MEMBER | — |
| BARBEY JESSICA | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER (INTERIM) | — |


## Disclosures (20)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2023-12-22 | regulatory | WITHOUT ADMITTING OR DENYING THE ALLEGED DEFICIENCIES INCLUDE FAILURE TO HAVE A ROBUST WRITTEN AML PROGRAM TO INVESTIGATE RED FLAGS FOR SUSPICIOUS TRADING ACTIVITY AND HIGH-RISK ACCOUNTS AND FAILURE TO PROPERLY TRAIN A CERTAIN INDIVIDUAL INVOLVED IN THE ACCOUNT DUE DILIGENCE REVIEW. FAILURE TO CAPTU… | Final | $475K |
| 2021-09-16 | regulatory | ON 09/16/2021, THE OFFICE OF FINANCIAL REGULATION ("OFFICE") ENTERED A FINAL ORDER ADOPTING THE STIPULATION AND CONSENT AGREEMENT IN THE MATTER OF WESTPARK CAPITAL, LLC ("WESTPARK") THE CHIEF COMPLIANCE OFFICER (PERIODS COVERING JANUARY 1, 2016 TO MAY 8, 2019). WESTPARK NEITHER ADMITTED NOR DENIED T… | Final | $10K |
| 2017-12-22 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SYSTEM OF SUPERVISION REASONABLY DESIGNED TO SUPERVISE ITS BUSINESS IN COLLATERALIZED MORTGAGE OBLIGATIONS (CMOS). THE FINDINGS STATED THAT THE FIRM'… | Final | $28K |
| 2017-03-03 | regulatory | RESPONDENTS FILED AN INCOMPLETE APPLICATION FOR REGISTRATION AND FAILED TO PROMPTLY UPDATE APPLICATION INFORMATION THAT HAD BECOME INACCURATE, IN VIOLATION OF 409.4-412(D)(1) AND 409.4-406(B) | Final | $25K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/39914/brochure
- Similar advisers: https://search.stillhousedata.com/firm/39914/similar
- Related entities: https://search.stillhousedata.com/firm/39914/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/39914

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.