Unclaimed Profile

Nicholas James Tocco

WESTPARK CAPITAL, INC.·LOS ANGELES, California

SIE, Series 7, Series 14, Series 24, Series 66, Series 99TO17 years registeredWESTPARK CAPITAL, INC.

1800 CENTURY PARK EAST, LOS ANGELES, CA 90067CRD# 5482327Firm CRD# 39914

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Nicholas James Tocco · LOS ANGELES, CA

Registration

CRD #5482327 · WESTPARK CAPITAL, INC. · 17 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: WESTPARK CAPITAL, INC.

WESTPARK CAPITAL, INC.

Feb 2009 – Nov 2022

LOS ANGELES, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 14

Series 24

Series 66

Series 99TO

Registration record

First registered · February 2, 2009

Years registered · 17

Disclosure History

2023Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

WESTPARK CAPITAL, INC.

CRD 39914 · SEC 801-108275

AUM

$30M

Regulatory assets under management

Employees

200 client accounts

Services offered by WESTPARK CAPITAL, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at WESTPARK CAPITAL, INC. →

Introduction

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Frequently Asked Questions

What services does Nicholas James Tocco offer?

Nicholas James Tocco specializes in Financial Planning, Investment Management.

What are Nicholas James Tocco's credentials?

Nicholas James Tocco is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Nicholas James Tocco located?

Nicholas James Tocco is based in LOS ANGELES, California, last registered with WESTPARK CAPITAL, INC..

How does Nicholas James Tocco charge for services?

Nicholas James Tocco's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WESTPARK CAPITAL, INC.?

WESTPARK CAPITAL, INC. has approximately 17 employees and manages $30M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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