Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PAUL CYRIL WESTHEAD
PAUL WESTHEAD
CRD#: 2332811
IA
Investment Adviser
B
Broker
RIMROCK CAPITAL MANAGEMENT LLCCRD#: 120410 100 INNOVATION DRIVE
SUITE 200
IRVINE, CA 92617-3040
FORESIDE FINANCIAL SERVICES, LLCCRD#: 148477 100 Innovation Drive
Suite 200
Irvine, CA 92675
Registration History
1996199820002002200420062008201020122014201620182020202220242026BFORESIDE FINANCIAL SERVICES, LLC (CRD# 148477)2020 - Present (5 years)IARIMROCK CAPITAL MANAGEMENT LLC (CRD# 120410)2006 - Present (18 years)BDLX FINANCIAL GROUP, LLC (CRD# 158690)2014 - 2019 (5 years)BOCM INVESTMENTS, LLC (CRD# 128803)2004 - 2004 (<1 year)BPIMCO FUNDS DISTRIBUTORS LLC (CRD# 25567)1996 - 2000 (3 years)
License(s)

State Registrations

B
Alabama 1/3/2020
B
Missouri 1/3/2020
B
Alaska 1/3/2020
B
Montana 1/3/2020
B
Arizona 1/3/2020
B
Nebraska 1/3/2020
B
Arkansas 1/3/2020
B
Nevada 1/3/2020
IA
California 5/10/2006
B
New Hampshire 1/3/2020
B
California 1/2/2020
B
New Jersey 1/3/2020
B
Colorado 1/3/2020
B
New Mexico 1/3/2020
B
Connecticut 1/3/2020
B
New York 1/3/2020
B
Delaware 1/3/2020
B
North Carolina 1/3/2020
B
District of Columbia 1/3/2020
B
North Dakota 1/3/2020
B
Florida 1/3/2020
B
Ohio 1/3/2020
B
Georgia 1/3/2020
B
Oklahoma 1/3/2020
B
Hawaii 1/3/2020
B
Oregon 1/3/2020
B
Idaho 1/3/2020
B
Pennsylvania 1/3/2020
B
Illinois 1/3/2020
B
Rhode Island 1/3/2020
B
Indiana 1/3/2020
B
South Carolina 1/3/2020
B
Iowa 1/3/2020
B
South Dakota 1/3/2020
B
Kansas 1/3/2020
B
Tennessee 1/3/2020
B
Kentucky 1/3/2020
B
Texas 1/3/2020
B
Louisiana 1/3/2020
B
Utah 1/3/2020
B
Maine 1/3/2020
B
Vermont 1/3/2020
B
Maryland 1/3/2020
B
Virginia 1/3/2020
B
Massachusetts 1/3/2020
B
Washington 1/3/2020
B
Michigan 1/3/2020
B
West Virginia 1/3/2020
B
Minnesota 1/3/2020
B
Wisconsin 1/3/2020
B
Mississippi 1/3/2020
B
Wyoming 1/3/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
FORESIDE FINANCIAL SERVICES, LLC (CRD#:148477)
100 Innovation Drive Suite 200, Irvine, CA 92675
San Juan Capistrano, CA
Registered with this firm since 1/2/2020
IA
RIMROCK CAPITAL MANAGEMENT LLC (CRD#:120410)
100 INNOVATION DRIVE SUITE 200, IRVINE, CA 92617-3040
Registered with this firm since 5/10/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/22/2014 - 12/31/2019 DLX FINANCIAL GROUP, LLC (CRD#:158690) MEDFORD, OR
B
 03/08/2004 - 07/15/2004 OCM INVESTMENTS, LLC (CRD#:128803) LOS ANGELES, CA
B
 11/05/1996 - 08/04/2000 PIMCO FUNDS DISTRIBUTORS LLC (CRD#:25567) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.