Daniel LeGaye Jr.

Associate
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Current News:

January 1, 2017

FINRA District 6 Committee: Melinda ("Mimi") LeGaye has joined FINRA's District 6 Committee as a small firm representative.

 

 

Recent Events:

 

 

Daniel (“Danny”) E. LeGaye, Jr. serves as an Associate with MGL Consulting, LLC where his responsibilities include processing Firm and Agent filings with FINRA, the NFA and various state regulatory agencies, as well as branch office filings; FINRA 5122/5123 Private Offering Filings; FINRA 4530 complaint filings; annual renewal filings; foreign corporate qualifications; Limited Size and Resource Exemption Filings; Firm Contact Questionnaire filings; Non-Registered Associated Person filings; Fidelity Bond filings and renewals; Foreign Associate Filings, and agent terminations on behalf of MGL’s broker/dealer clients. Danny’s responsibilities also include processing Form ADV filings and Form U4/U5 filings on behalf of MGL’s investment adviser clients.

As a licensed Financial & Operations Principal, and a licensed Operations Professional, Danny provides FINOP services to various broker/dealer clients of MGL, and he works with MGL’s team of professionals to provide FINOP support services including preparation of monthly net capital computations and Focus IIA Reports as required under SEC Rule 17a-5.

Should a client desire to establish their own internal registration department as opposed to outsourcing such functions, Danny is available to train the client’s staff members on the full functionality of the FINRA’s WebCRD System and WebCRD Administration best practices.

Danny serves as the coordinator for MGL’s Sentinel compliance service program for BDs and IAs. Specifically, he is responsible for coordinating with MGL’s compliance team and our clients throughout the year, to provide for timely delivery of services including but not limited to firm and agent registrations, 3012/3130 Compliance Audit Program, Anti-Money Laundering Program, Branch Office Audit Program, Continuing Education Program, Annual Compliance Meetings Program.

Danny holds a BBA from Sam Houston State University where his area of study was Business Administration and Marketing. Danny holds the Series 28 and 99 licenses.