Nicholas E. Stovall
Professional summary
Nicholas Edward Stovall was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Nicholas had worked at 4 firms, which includes WEST AMERICA SECURITIES CORP, GRADIENT ADVISORS LLC, GRADIENT SECURITIES LLC, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2013 - July 18, 2013
WEST AMERICA SECURITIES CORP
October 12, 2010 - July 21, 2023
GRADIENT ADVISORS, LLC
July 14, 2009 - July 21, 2023
GRADIENT SECURITIES, LLC
October 29, 2008 - April 1, 2009
EDWARD JONES
October 3, 2008 - April 1, 2009
EDWARD JONES
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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
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