Unclaimed Profile

Gustave Robert Ozag

WESTEND CAPITAL MANAGEMENT, LLC.·SAUSALITO, California

Series 6, Series 22, Series 63CFP ChFC9 years registeredWESTEND CAPITAL MANAGEMENT, LLC.

ONE HARBOR DRIVE, SAUSALITO, CA 94965CRD# 1142854Firm CRD# 120545

Profile Verification

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

Identity

Gustave Robert Ozag · SAUSALITO, CA

Registration

CRD #1142854 · WESTEND CAPITAL MANAGEMENT, LLC. · 9 years registered

Brand Profile

Not yet started

Career History

WESTEND CAPITAL MANAGEMENT, LLC.

Nov 2017 – present

WESTEND CAPITAL MANAGEMENT, LLC.

Aug 2016 – Dec 2016

San Rafael, CA

Registrations & Exams

FINRA examinations passed

Series 6

Series 22

Series 63

Registration record

First registered · August 30, 2016

Years registered · 9

Professional designations · CFP, ChFC

Disclosure History

1999Regulatory·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

WESTEND CAPITAL MANAGEMENT, LLC.

CRD 120545 · SEC 801-61128

AUM

$233M

Regulatory assets under management

Employees

331 client accounts

Services offered by WESTEND CAPITAL MANAGEMENT, LLC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at WESTEND CAPITAL MANAGEMENT, LLC. →

Introduction

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Frequently Asked Questions

What services does Gustave Robert Ozag offer?

Gustave Robert Ozag specializes in Financial Planning, Investment Management, Retirement Planning. Contact their office in SAUSALITO, California for a consultation.

What are Gustave Robert Ozag's credentials?

Gustave Robert Ozag holds the following professional designations: CFP, ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Gustave Robert Ozag located?

Gustave Robert Ozag is based in SAUSALITO, California, working with WESTEND CAPITAL MANAGEMENT, LLC.. Their office serves clients in the SAUSALITO metropolitan area and surrounding communities.

How does Gustave Robert Ozag charge for services?

Gustave Robert Ozag's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WESTEND CAPITAL MANAGEMENT, LLC.?

WESTEND CAPITAL MANAGEMENT, LLC. has approximately 4 employees and manages $233M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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