Robert B. Kay
Professional summary
Robert Brian Kay was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Robert had worked at 5 firms, which includes WEST AMERICA SECURITIES CORP, J. ALEXANDER SECURITIES INC., C. L. MCKINNEY & CO. INC., SOURCE SECURITIES INC., J. W. WELLER & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 1993 - July 11, 2013
WEST AMERICA SECURITIES CORP
October 13, 1989 - January 28, 1994
J. ALEXANDER SECURITIES, INC.
February 27, 1989 - September 28, 1989
C. L. MCKINNEY & CO., INC.
December 12, 1988 - March 9, 1989
SOURCE SECURITIES, INC.
March 6, 1984 - September 28, 1989
C. L. MCKINNEY & CO., INC.
September 23, 1983 - April 2, 1984
J. W. WELLER & CO., INC.
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.
