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  • About
    • About WestPark Capital
    • Our Locations
  • Team
  • Services
    • Investment Banking
      • Investment Banking Overview
      • Structured IPO
    • Capital Markets
    • Equity Research
    • Institutional Sales & Trading
    • Brokerage
      • Private Brokerage Products & Services
      • Account Documents
      • Syndicate
    • Insurance
  • Transactions
  • News
  • Contact
    • General Contact Information
    • WPC Directions
    • General Inquiry Form
    • Brokerage Account Inquiry
    • Careers
WestPark Capital Investment BankingWestPark Capital Investment Banking
  • About
    • About WestPark Capital
    • Our Locations
  • Team
  • Services
    • Investment Banking
      • Investment Banking Overview
      • Structured IPO
    • Capital Markets
    • Equity Research
    • Institutional Sales & Trading
    • Brokerage
      • Private Brokerage Products & Services
      • Account Documents
      • Syndicate
    • Insurance
  • Transactions
  • News
  • Contact
    • General Contact Information
    • WPC Directions
    • General Inquiry Form
    • Brokerage Account Inquiry
    • Careers
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Anti-Money Laundering (AML) Disclosure

Anti-Money Laundering (AML) Disclosure

The USA PATRIOT Act, implemented in October 2002, is designed to detect, deter, and punish terrorists in the United States and abroad. The Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. WestPark Capital, Inc. has implemented its AML program. To help you understand these efforts, we want to provide you with some information about money laundering and our steps to implement the USA PATRIOT Act.

What is money laundering?

Money laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate sources or activities. Money laundering occurs in connection with a wide variety of crimes, including illegal arms sales, drug trafficking, robbery, fraud, racketeering, securities fraud and terrorism.

What are we required to do to eliminate money laundering?

Under the rules required by the USA PATRIOT Act, our firm has designated an AML Compliance Officer, set up employee training, arranged for independent audits, coordinate activities with our clearing firm, Axos Clearing and established policies and procedures to detect and report suspicious transactions and ensure compliance with the laws. As part of our required program, you will be asked to provide various identification documents. Until you provide the information or documents and until your identity has been verified, you may not be able to open an account or effect any transactions through us or our clearing firm.

We thank you for your cooperation and hope that you will support us in our efforts to deny terrorists groups’ access to America’s financial systems.


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WestPark Capital Customer Relationship Summary
Annual Notice of Important Policies and Disclosures
Member FINRASIPCFINRA BrokerCheck
WestPark Capital, Inc. is a FINRA member broker-dealer majority owned by WestPark Capital Group, LLC. WestPark Capital Group, LLC maintains corporate offices in Auburn, Michigan and Los Angeles, CA for non-securities business only.
CLIENT LOGIN
WestPark Capital Customer Relationship Summary
Annual Notice of Important Policies and Disclosures
Member FINRASIPCFINRA BrokerCheck
WestPark Capital, Inc. is a FINRA member broker-dealer majority owned by WestPark Capital Group, LLC. WestPark Capital Group, LLC maintains corporate offices in Auburn, Michigan and Los Angeles, CA for non-securities business only.
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