WestPark Capital - International Investment Bank

About WestPark Capital

WestPark Capital Inc.

A full service investment banking and securities brokerage firm which serves the needs of both private and public companies worldwide, as well as individual and institutional investors.

We are committed to forging lasting partnerships with emerging growth companies and the investors who back them. Our simple approach is to provide customized financial solutions for virtually any need. A complete range of investment banking and brokerage services are available to our valued corporate and individual clients.

Our Capabilities

Our corporate finance professionals have the depth of experience and resources to create integrated financing solutions for both private and public marketplaces. Additionally, we offer an exceptional array of private client services through our dedicated financial consultant group. WestPark Capital understands the importance of strong relationships in today’s dynamic business environment and welcomes the opportunity to leverage this power into your success!

WestPark Capital, Inc. has experienced professionals with proven corporate finance expertise in all aspects of investment banking, such as:

Initial public offerings and secondary offerings
Private placements of equity and debt
Mergers and acquisitions
Corporate divestitures
Fairness opinions and valuation
Bankruptcy/restructuring advisory services

Growth Company Focus

Our emphasis is on the financial needs of emerging growth companies in the small and micro-cap markets.

Global Capabilities

We have a nationwide reach with investment banking experience in Asia and Europe, while our international office located in Hong Kong provides full access to the Asian financial markets.

Client Guidance

As we guide entrepreneurs through the capital markets, our experience and long established relationships help get small companies through big doors.

Private Brokerage

Our professional investment counselors have the experience and resources to help clients achieve their financial goals through solid investments that include an array of proprietary and third party products.

Browse our site for more information on WestPark Capital, Inc. or Contact Us now! All telephone conversations may be recorded for quality assurance and accuracy.

WPC Significant Business Disruption Plan

WestPark Capital Inc.’s policy is to respond to a Significant Business Disruption (SBD) by safeguarding our property and the lives of our employees, by making the appropriate assessments to ensure that we can complete the following:

Resume operations,
Protect all of WestPark Capital’s books and records,
Allow our customers to continue to conduct business, and
Allow customers prompt access to fund and securities.

Significant Business Disruptions (SBDs)

Our plan anticipates internal and external disruptions. Internal disruptions affect only our ability to communicate and conduct business, such as a power outage or fire. External disruptions prevent the operation of the securities markets or a number of many firms, such as an earthquake, terrorist attack or widespread disruption. Our response to an external disruption relies more heavily on other organizations and systems especially including our clearing firm.

Our clearing firm is Axos Clearing, LLC, 9300 Underwood Avenue, Suite 400, Omaha, NE 68114-2685.

Telephone: (402) 384-6100 or (800) 811-3487

Customers’ Access to Funds and Securities

The Firm does not maintain custody of customers’ funds or securities. Customer funds and securities are carried by our clearing firm, Axos Clearing, LLC. In the event of an internal or external SBD, if telephone service is available, our registered persons will take customer orders or instructions and contact our clearing firm on their behalf, and if our Web access is available, we will post on our website notification so customers may access their funds and securities by contacting Axos Clearing at (402) 384-6100 or (800) 811-3487.

Data Back-Up and Recovery (Hard Copy and Electronic)

The Firm maintains its primary hard copy books and records and its electronic records at our Corporate Office in Los Angeles, California. A Designated Principal is responsible for the maintenance of these books and records. Hard copies of books and records and electronic records are also maintained at our clearing firm.

The Firm’s computer server, hard copy books and records and other electronic records are backed up daily and retained off-site in a secure location. In addition, we have engaged the services of an independent technology firm that automatically backs up our records daily.

In the event of an internal or external SBD that causes the loss of our paper records, we can and will physically recover them from our back-up site at Axos Clearing, LLC. If our primary site is inoperable, we will continue operations from our back-up site or an alternate location. For the loss of electronic records, we will either physically recover the storage media or electronically recover data from our back-up site, or, if our primary site is inoperable, continue operations from our back-up site or an alternate location.

Order Taking

Currently, the Firm receives orders from customers via telephone as well as in-person visits. During an SBD, either internal or external, we will accept transaction orders from our customers through telephone, fax, email, or through our clearing firm at (800) 811-3487 or (866) 774-0218 or (402) 384-6100. As communications permit, we will notify our customers when communications vehicles become available regarding what alternatives are available to them to transmit orders to us. Our initial method of communication to our customers will be via telephone, if available.

Other Services Currently Provided to Customers

In addition to those services listed above, we also receive requests for account journals of securities, monies and stock certificates, stock certificates received and mailed out, change of address, and overall customer service. In the event of an internal SBD, we request all customers to contact Axos Clearing, LLC directly at (402) 384-6100 or (800) 811-3487. In the event of an external SBD, we would document all requests and forward to our clearing firm via the best available means. If none are available, we will notify customers of the delay, then forward to our clearing firm as soon as possible.