Mark A. Disalvo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Allen Disalvo, who also goes by Mark Alan Disalvo, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 8 firms and has passed the Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1997 - February 25, 2000
WEST AMERICA SECURITIES CORP
January 25, 1995 - July 25, 1995
TOLUCA PACIFIC SECURITIES CORP.
January 26, 1994 - September 12, 1994
WEST AMERICA SECURITIES CORP
August 2, 1991 - May 25, 1993
PACIFIC HANKUK SECURITIES, INC.
March 2, 1990 - December 24, 1990
DAEHAN SECURITIES, INC.
April 28, 1988 - September 9, 1988
WHITEHALL INVESTMENT SECURITIES, LTD.
February 22, 1988 - January 19, 1993
TOLUCA PACIFIC SECURITIES CORP.
May 18, 1987 - September 1, 1987
SAN MARINO SECURITIES, INC.
May 15, 1984 - January 17, 1990
CALIFORNIA BROKERAGE SERVICES,INC.
December 21, 1983 - January 10, 1984
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEST AMERICA SECURITIES CORP
CRD#: 35035 / SEC#: , 8-46494
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KAY, ROBERT BRIAN | PRESIDENT, CEO, CCO & FINOP | 1133657 |
| MID AMERICA CAPITAL CORP. | HOLDING COMPANY |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
