Sandra M. Logay
Professional summary
Sandra Marie Logay was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sandra is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Sandra had worked at 8 firms, which includes NEWEDGE SECURITIES LLC, NORTH STAR INVESTMENT SERVICES INC., SOURCE CAPITAL GROUP INC., MERIT CAPITAL ASSOCIATES INC., FFP SECURITIES INC., STIFEL NICOLAUS & COMPANY INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2017 - February 2, 2024
NEWEDGE SECURITIES, LLC
June 17, 2004 - October 22, 2016
NORTH STAR INVESTMENT SERVICES, INC.
December 1, 2001 - May 3, 2004
SOURCE CAPITAL GROUP, INC.
July 27, 1999 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
April 16, 1996 - February 3, 1999
FFP SECURITIES, INC.
September 7, 1994 - January 25, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 25, 1989 - July 11, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 19, 1969 - August 25, 1989
THOMSON MCKINNON SECURITIES 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 3/12/1969
Registered Representative ExaminationSeries 8
Date: 2/4/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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