Nancy Krug Dray
Professional Summary
Nancy Krug Dray, who also goes by Nancy Dray, Nancy Joan Krug, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nancy Dray, Nancy Joan Krug
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Years of Experience
45 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Current Firm
MCCARROLL & CO., INC. | SPECTRUM ASSET MANAGEMENT, INC. | SAMI BROKERAGE LLC | PRINCIPAL GLOBAL INVESTORS
Contact Information
Main Address
2 High Ridge Park 2nd Floor, Stamford, CT 06905Mailing Address
2 High Ridge Park 2nd Floor, Stamford, CT 06905Phone Number
(203) 322-0189Established
Delaware since 11/09/2018Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (17 States and Territories)
Registered to provide investment advisory services in 0 US 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
1Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
(1/22/2004)
(11/9/2009)
(2/19/2004)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Nancy Krug Dray's CRS (Customer Relationship Summary).
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC