James Silver
Professional summary
James Silver was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, James had worked at 5 firms, which includes WEST AMERICA SECURITIES CORP, NEWPORT COAST SECURITIES INC., MAXXEL SECURITIES INC., FORTRESS SECURITIES INC., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 1996 - November 6, 1997
WEST AMERICA SECURITIES CORP
June 14, 1993 - April 10, 1995
NEWPORT COAST SECURITIES, INC.
June 5, 1993 - June 30, 1993
MAXXEL SECURITIES, INC.
July 1, 1992 - August 3, 1992
FORTRESS SECURITIES, INC.
March 16, 1992 - May 1, 1992
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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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
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