James S. Dixon
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.
James Steven Dixon, who also goes by James Steven Dixson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 9 firms and has passed the Series 63, Series 55, Series 7, Series 4 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 19, 2004 - June 8, 2006
WEST AMERICA SECURITIES CORP
April 11, 2000 - August 7, 2002
WEST AMERICA SECURITIES CORP
February 13, 1995 - March 5, 1999
WEST AMERICA SECURITIES CORP
October 3, 1994 - February 28, 1995
ROYSE SECURITIES, LTD.
February 3, 1993 - July 19, 1994
NEWPORT COAST SECURITIES, INC.
May 30, 1991 - April 7, 1992
REYNOLDS KENDRICK STRATTON, INC.
March 15, 1991 - June 3, 1991
FIRST AMERICAN BILTMORE SECURITIES, INC.
January 21, 1991 - April 10, 1991
PRIVATE INVESTORS CARTEL, LTD.
August 26, 1989 - January 2, 1991
RICHFIELD SECURITIES, INC.
December 22, 1988 - August 17, 1989
NEWPORT COAST SECURITIES, INC.
August 30, 1988 - November 15, 1988
PAN OCEANIC INVESTMENTS, INC.
July 23, 1986 - July 27, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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
Series 55
Date: 7/12/1999
Limited Representative-Equity Trader ExamCurrent 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.
