Gustave Ozag has been Member, Chief Financial Planning Officer of WestEnd Capital Management since April 2002, is a control person of the firm and directly owns between 25% and 50% of it. Gustave Ozag holds a Bachelor of Arts in Philosophy from California State University, Northridge.
Westend Capital Management, LLC. is a Sausalito, CA firm with $436M under management, 331 clients and 3 advisers in one office, as of its March 2026 filing.
Gus Ozag is a founder of WestEnd Capital Management. He has more than 30 years of financial planning experience. He assists clients in coordinating the management of their assets with comprehensive financial planning, including risk management, estate, retirement, investment and tax planning.
- – present · 8 yearsSan Rafael, CA · Adviser representative · Firm CRD 120545
- – · under a yearSan Rafael, CA · Adviser representative · Firm CRD 120545
Professional designations
Listed by WestEnd Capital Management
- Certified Financial Planner (CFP)
- Chartered Financial Consultant (ChFC)
- Chartered Life Underwriter (CLU)
Investment adviser representative registrations
Gustave Ozag is registered as an investment adviser representative in California, since November 2017.
- CaliforniaSince 28 November 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 19 May 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 18 May 1994 |
| Series 22 | Direct Participation Programs Representative Examination | 12 January 1983 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Full name
- Gustave Robert Ozag
- CRD
- 1142854
- Firm
- WestEnd Capital Management · CRD 120545
- Role
- Member, Chief Financial Planning Officer
- Office
- San Rafael, CA
- Registration
- Investment adviser registration
- In the industry since
- October 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- wcmsf.com
Where does Gustave Ozag work?
Gustave Ozag has been Member, Chief Financial Planning Officer of Westend Capital Management, LLC. since April 2002, and is a control person of the firm.
Is Gustave Ozag a financial advisor?
Yes. Gustave Ozag has a current investment-adviser registration in California, through WestEnd Capital Management since November 2017.
How many years of experience does Gustave Ozag have?
Gustave Ozag has 17 years in the financial industry, since October 2009, across 1 adviser firm.
What exams has Gustave Ozag passed?
Gustave Ozag has passed 3 licensing exams: the Series 22, Series 6 and Series 63. The earliest, the Series 22, was passed in January 1983.
Where is Gustave Ozag based?
Gustave Ozag’s registered office is in San Rafael, CA.
Is Gustave Ozag registered with FINRA?
No. Gustave Ozag has no current broker registration.
Is Gustave Ozag a CFP?
WestEnd Capital Management lists Gustave Ozag with the CFP credential (“Certified Financial Planner (CFP)”) on its website. CFP Board confirms certification status.
Source: Gus Ozag biography, wcmsf.com
How can I verify Gustave Ozag’s record?
Search CRD 1142854 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Gustave Ozag’s full registration record.