Nancy K. Dray
Professional summary
Nancy Krug Dray, who also goes by Nancy Dray, Nancy Joan Krug, is a registered financial professional currently at SAMI BROKERAGE LLC located in Stamford, Connecticut.
Nancy is registered as a RR (Registered Representative) and started their career in finance in 1981. Nancy has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nancy Krug Dray's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 26, 1987 - Present
SAMI BROKERAGE LLC
Office #1: 2 High Ridge Park, Stamford, CT 06905November 15, 1982 - August 15, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
September 5, 1981 - July 7, 1982
D. H. BLAIR & 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
(1/22/2004)
(11/9/2009)
(2/19/2004)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
SAMI BROKERAGE LLC
CRD#: 18217 / SEC#: 801-undefined, 8-36472
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPECTRUM ASSET MANAGEMENT, INC. | 100% OWNER | |
| BYER, MATTHEW ROSS | CHIEF INFORMATION SECURITY OFFICER | 3120607 |
| HANCZOR, JOSEPH ANDREW | CHIEF COMPLIANCE OFFICER | 5200684 |
| JACOBY, LEWIS PHILLIP IV | HEAD OF TRADING | 1238147 |
| LIEB, MARK ALAN | PRESIDENT | 853490 |
| ORLANDO, JEAN MARIE | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | 1197909 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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