Michael E. Logan
Professional summary
Michael Edward Logan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Michael had worked at 7 firms, which includes SECURITIES MANAGEMENT & RESEARCH INC., INTEGRITY ALLIANCE LLC., CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE ADVISOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2011 - October 5, 2012
SECURITIES MANAGEMENT & RESEARCH, INC.
November 17, 2008 - November 17, 2008
INTEGRITY ALLIANCE, LLC.
August 13, 2007 - March 4, 2009
INTEGRITY ALLIANCE, LLC.
July 6, 2005 - July 20, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - July 20, 2007
CHASE INVESTMENT SERVICES CORP.
February 19, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 19, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 7, 2001 - February 13, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
August 27, 2001 - February 13, 2003
IDS LIFE INSURANCE COMPANY
August 27, 2001 - February 13, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
June 2, 1995 - June 11, 2001
AMERIPRISE ADVISOR SERVICES, 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 8
Date: 1/20/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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