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One Harbor Drive Suite 300, Sausalito, CA 94965 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-11-28 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Systems | San Francisco | CA | 05/1979 | Present |
| Westend Capital Management, Llc | San Francisco | CA | 04/2002 | Present |
Gustave Robert Ozag is a registered independent insurance agent with Financial Systems, an insurance company that offers life, health, and disability insurance. Mr. Ozag receives compensation in the form of commissions from the sale of life, health, and disability insurance in connection with his activity as an independent insurance agent with Financial Systems. Mr. Ozag spends approximately 5% of his time on this activity. Mr. Ozag does not receive any additional compensation for the financial planning services WestEnd offers its clients in connection with Mr. Ozag's role as WestEnd's Chief Financial Planning Officer. Mr. Ozag's involvement in his outside business activities does not interfere with his ability to service WestEnd's clients or oversee the conduct of the Firm's business. Gustave Robert Ozag does not receive compensation for the sale of securities or other investment products.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-05-19 |
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