William J. Kraus
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.
William Joseph Kraus, who also goes by Bill Kraus, William Kraus, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 7 firms and has passed the Series 63, Series 7, Series 22 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
March 1, 1997 - October 1, 2001
WEST AMERICA SECURITIES CORP
June 7, 1994 - December 15, 1994
WEST AMERICA SECURITIES CORP
June 21, 1993 - May 26, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
May 21, 1992 - April 3, 1993
SUNPOINT SECURITIES, INC.
April 30, 1991 - October 21, 1991
FINANCIAL WEST GROUP
April 24, 1990 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
September 9, 1987 - June 26, 1989
L.M. DREW & ASSOCIATES
January 28, 1987 - September 18, 1987
ALAMO SECURITIES, 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.
