Douglas M. Logan
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 Malcolm Logan was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1991. Douglas had worked at 3 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2020 - June 13, 2022
BABCOCK & BROWN SECURITIES LLC
October 29, 2004 - September 14, 2007
J.P. MORGAN SECURITIES LLC
July 22, 1997 - June 4, 2004
J.P. MORGAN SECURITIES LLC
May 23, 1996 - September 6, 1996
J.P. MORGAN SECURITIES LLC
November 21, 1991 - August 16, 1995
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 8/6/2020
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 6/14/2020
General Securities Representative ExaminationCurrent Firm
BABCOCK & BROWN SECURITIES LLC
CRD#: 169440 / SEC#: , 8-69368
Contact information
FINRA licenses (16 States and Territories)
Documents
Red Flags
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