WW
William E. Whalen
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CRD#: 1078347
WW
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.
William Edward Whalen was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 31, 2002 - January 30, 2012
SANCTUARY SECURITIES, INC.
BD
CRD#: 205
INDIANAPOLIS, IN
Past
January 7, 1998 - May 31, 2002
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
March 1, 1983 - December 31, 1997
TRAUB AND COMPANY, INC.
BD
CRD#: 4904
INDIANAPOLIS, IN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
SS
SANCTUARY SECURITIES, INC.
1280 FINANCIAL PARTNERS | WIGAND INTEGRATED WEALTH | VINCITA INVESTMENT PARTNERS | VELORUM WEALTH MANAGEMENT | VALOROUS PRIVATE WEALTH | UPLAND PRIVATE WEALTH | TOVA WEALTH | THEOREM WEALTH MANAGEMENT | THE MANCUSI GROUP | THE LONGO GROUP | TENET WEALTH PARTNERS | SOUTHERN OAK WEALTH GROUP | SMITHBERG WEALTH | SKYPATH PRIVATE WEALTH | SANCTUARY WEALTH PARTNERS | SANCTUARY WEALTH ADVISORS | SANCTUARY SECURITIES, INC. | SANCTUARY SECURITIES | SANCTUARY GLOBAL | SAIGE PRIVATE WEALTH | ROCKET FINANCE | RICEBARRETT FAMILY WEALTH | RHA WEALTH | QUORUM PRIVATE WEALTH | QUESTAR CAPITAL PARTNERS | PRARIEFIRE WEALTH | PRAETEGO PRIVATE WEALTH | PEREZ PRIVATE WEALTH GROUP | OTLEY PRIVATE WEALTH MANAGEMENT | ORDORICA & DE LA GARZA PRIVATE WEALTH GROUP | NOYES GROUP, LLC | NOBLEVEST PRIVATE WEALTH | NOBLE WEALTH ADVISORS | NEWSPRING WEALTH MANAGEMENT | NAVIS WEALTH MANAGEMENT | NAVASYNC PRIVATE WEALTH | MUIRWOOD PRIVATE WEALTH | MONROE FINANCIAL GROUP | MFORCE CAPITAL ARKANSAS, MARRIOTT WEALTH ADVISORS | MFORCE CAPITAL - FOSSIL ROCK PRIVATE WEALTH | MFORCE | MESA POINTE WEALTH | MERCER WEALTH MANAGEMENT | MARBLE WEALTH | MACKIE & WALLER WEALTH MANAGEMENT | M&K LEGACY WEALTH | LOPEZ PRIVATE WEALTH GROUP | LIONS WEALTH PARTNERS | LEBLANC FINANCIAL GROUP | JDK WEALTH | JACKSON HILL & FISH PRIVATE WEALTH ADVISORS | ITERHIC WEALTH ADVISORS | INNOVISE FAMILY WEALTH ADVISORS, LLC | HOLDER LEGACY WEALTH PARTNERS | HILLGUARD WEALTH MANAGEMENT | HEREDITAS WEALTH MANAGEMENT | GUERRERO PRIVATE WEALTH GROUP | GREEN WEALTH MANAGEMENT GROUP | GRANITE ISLANDS PRIVATE WEALTH | GLOMB PRIVATE WEALTH | G SQUARED PRIVATE WEALTH | FUENTES HONDERMANN WEALTH MANAGEMENT | FAMIGLIA WEALTH | EXCELSIS GLOBAL PRIVATE WEALTH | EVANS MAY WEALTH | ENSCONCE WEALTH PARTNERS | ECLIPSE PRIVATE WEALTH MANAGEMENT | DIAL SQUARE PRIVATE WEALTH | DIAGONAL INVESTMENT OFFICE | DC HILL WEALTH MANAGEMENT | DAVID A. NOYES & COMPANY | CROSSWATERS WEALTH MANAGEMENT | CRESCENT PINE FAMILY OFFICE GROUP | CRESCENT HARBOR PRIVATE WEALTH | CREDO WEALTH MANAGEMENT | COPPERSKY WEALTH | COOKE FINANCIAL GROUP LLC | CONVERSANT WEALTH MANAGEMENT | CONCENTURE WEALTH MANAGEMENT | CLAYBOURN FRAKES | CHAPPELL WEALTH MANAGEMENT | CHAPA & SALINAS PRIVATE WEALTH GROUP | CHADWICK BAY INVESTMENTS | CERULEAN PRIVATE WEALTH ADVISORS, LLC | CENTERAS PRIVATE WEALTH | CEDAR GAP WEALTH MANAGEMENT | CARPION PRIVATE WEALTH | CAPE ROCK PRIVATE WEALTH | BURNHAM HARBOR PRIVATE WEALTH | BOWERSOCK CAPITAL PARTNERS | BAYLEY INVESTMENT GROUP | AZIMUT GENESIS ADVISORS | AZ APICE - CAPITAL MANAGEMENT | AUSPERITY PRIVATE WEALTH | AURIC PRIVATE WEALTH | AURIC CAPITAL PARTNERS | ARRAS WEALTH MANAGEMENT | ALLUVIAL PRIVATE WEALTH | ALFA ADVISORY | ACORN ADVISORS GROUP | 6 DEGREES WEALTH | 401K PLAN ADVISOR | 18FORTY8 PRIVATE WEALTH
CRD#: 205 / SEC#: 801-67588, 8-22752
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
1450 Brickell Avenue Suite 2610, Miami, FL 33131
Mailing Address
1450 Brickell Avenue Suite 2610, Miami, FL 33131
Phone number
(317) 975-7729
Established
Illinois since 03/07/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANCTUARY WEALTH GROUP, LLC | SOLE SHAREHOLDER | |
| CHASE, KEVIN P | CHIEF COMPLIANCE OFFICER | 1626158 |
| MILLER, KEVIN JOSEPH | CHIEF LEGAL OFFICER AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 4133001 |
| SMEAL, TIMOTHY D | DIRECTOR OF OPERATIONS | 4169869 |
| VAUGHAN, DAVID | FINANCIAL OPERATIONS PRINCIPAL- FINOP AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 2603399 |
| WALTER, ROBERT ALAN | PRESIDENT AND CHAIRMAN OF THE BOARD FOR SANCTUARY SECURITIES INC. | 2507287 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 9 |
| Bond | 1 |
Red Flags
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.
