Daniel Vincent Joyce

Westpark Capital, INC.

42 Years of Experience

3 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & CoachingRetirement PlanningHigh Net Worth

Westpark Capital, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

12 advisors

Number of Clients

234 clients

Average Client Portfolio

$203K average

Assets Under Management

$47.6M

Fee Structure

Location

535 Fifth Ave, 22nd Floor, New York, NY, 10017

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History

Regulatory History (3)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

October 2022

Settled

Employment Separation After Allegations

March 2018

Judgment / Lien

September 2008

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Daniel is an independent broker placing fixed life and health insurance products with clients since 1991. This takes a few hours per week.

Employment History

Current Registrations

Westpark Capital, INC.

July 2018 - Present · 7 yrs 7 mos

Westpark Capital, INC.Broker

April 2018 - Present · 7 yrs 10 mos

Previous Registrations

Scf Investment Advisors, INC.

October 2016 - March 2018 · 1 yr 5 mos

Scf Securities, INC.Broker

October 2016 - March 2018 · 1 yr 5 mos

LPL Financial LLC

July 2005 - February 2017 · 11 yrs 7 mos

LPL Financial LLCBroker

June 1998 - February 2017 · 18 yrs 8 mos

Guardian Investor Services CorporationBroker

May 1991 - June 1998 · 7 yrs 1 mo

W. S. Griffith & CO., INC.Broker

March 1985 - March 1986 · 1 yr

Chris Securities INC.Broker

November 1983 - May 1991 · 7 yrs 6 mos

Personal Economics Securities CorporationBroker

June 1983 - April 1984 · 10 mos

State Registrations8 states

AZCACTFLNJNYPATX

AdvisorBrokerBoth

Exams

No exam information available for this advisor.