Unclaimed Profile

William Arthur Morgan

WESTPARK CAPITAL, INC.·LOS ANGELES, California

SIE, Series 4, Series 7, Series 24, Series 27, Series 53, Series 55, Series 63, Series 65, Series 99TO19 years registeredWESTPARK CAPITAL, INC.

1900 AVENUE OF THE STARS, LOS ANGELES, CA 90067CRD# 852925Firm CRD# 39914

Profile Verification

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

Identity

William Arthur Morgan · LOS ANGELES, CA

Registration

CRD #852925 · WESTPARK CAPITAL, INC. · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: WESTPARK CAPITAL, INC.

MAM GLOBAL FINANCIAL SERVICES, LLC

Mar 2011 – Jun 2011

ELK GROVE, CA

WESTPARK CAPITAL, INC.

Mar 2007 – May 2009

LOS ANGELES, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 27

Series 53

Series 55

Series 63

Series 65

Series 99TO

Registration record

First registered · March 26, 2007

Years registered · 19

Disclosure History

2012Regulatory·Final

2010Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. 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 William Arthur Morgan offer?

William Arthur Morgan specializes in Financial Planning, Investment Management.

What are William Arthur Morgan's credentials?

William Arthur Morgan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is William Arthur Morgan located?

William Arthur Morgan is based in LOS ANGELES, California, last registered with WESTPARK CAPITAL, INC..

How does William Arthur Morgan charge for services?

William Arthur Morgan'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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