Douglas Lennard
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.
Douglas Lennard was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1970. Douglas had worked at 10 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2003 - January 7, 2009
WEST AMERICA SECURITIES CORP
September 23, 2002 - September 26, 2003
AARON CAPITAL INCORPORATED
September 4, 2002 - August 29, 2003
J. ALEXANDER SECURITIES, INC.
July 26, 1995 - August 28, 2002
WEST AMERICA SECURITIES CORP
March 31, 1995 - June 20, 1995
H.J. MEYERS & CO., INC.
February 5, 1991 - March 24, 1995
MEYERS SECURITIES CORPORATION
September 11, 1990 - December 11, 1990
T.R. WINSTON & COMPANY, LLC
September 4, 1979 - November 7, 1989
C. L. MCKINNEY & CO., INC.
January 16, 1974 - July 31, 1979
SAMUEL B. FRANKLIN AND COMPANY, INC.
April 26, 1971 - February 6, 1974
CABOT SHAW INCORPORATED
October 1, 1970 - September 2, 1971
SNODGRASS & 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
Series 1
Date: 8/19/1968
Registered Representative ExaminationSeries 00
Date: 4/11/1974
General Securities Principal ExaminationCurrent 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.
