Michael H. Antell
Professional summary
Michael Henry Antell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Michael had worked at 5 firms, which includes WEST AMERICA SECURITIES CORP, M.A. GILLESPIE INVESTMENT CORP., A.S. GOLDMEN & CO. INC., J.W. BARCLAY & CO. INC., PARAGON CAPITAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 1998 - July 16, 1998
WEST AMERICA SECURITIES CORP
October 27, 1997 - January 7, 1998
M.A. GILLESPIE INVESTMENT CORP.
March 12, 1997 - April 9, 1997
A.S. GOLDMEN & CO., INC.
November 29, 1996 - January 21, 1997
J.W. BARCLAY & CO., INC.
November 4, 1996 - November 13, 1996
PARAGON CAPITAL MARKETS, INC.
February 12, 1996 - September 3, 1996
A.S. GOLDMEN & CO., INC.
State Registrations and Notice Filings
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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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