Mary-rose J. Mercer
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.
Mary-rose Joyce Mercer, who also goes by Maryrose Joyce Mercer, Maryrose Joyce Montemayor, Maryrose Joyce Montemyor, was a registered financial professional .
Mary-rose is a previously registered financial professional and started their career in finance in 1986. Mary-rose had worked at 17 firms and has passed the Series 63, 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
December 7, 2018 - August 22, 2022
SANCTUARY SECURITIES, INC.
January 19, 2016 - November 29, 2018
WORLD EQUITY GROUP, INC.
September 1, 2015 - January 19, 2016
BONWICK CAPITAL PARTNERS, LLC
January 23, 2015 - May 14, 2015
LPE SECURITIES, LLC
March 9, 2009 - December 11, 2012
BENJAMIN & JEROLD BROKERAGE I, LLC
November 7, 2007 - April 22, 2008
PETRA TRADING GROUP LLC
October 29, 2007 - November 8, 2007
AK CAPITAL LLC
May 20, 2004 - December 13, 2005
LPE SECURITIES, LLC
October 31, 2002 - February 17, 2004
CROCKER SECURITIES LLC
May 26, 2000 - November 20, 2002
IBIS SECURITIES, LLC
May 18, 1998 - March 29, 2000
STONE & YOUNGBERG LLC
July 19, 1995 - May 20, 1998
SUNCOAST CAPITAL GROUP, LTD.
November 1, 1994 - June 1, 1995
WILLIAM R. HOUGH & CO.
June 30, 1994 - October 11, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 24, 1991 - December 31, 1993
LORD & KENDYLL INVESTMENTS, INC.
December 5, 1989 - April 9, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
July 25, 1987 - December 4, 1989
WESTCAP GOVERNMENT SECURITIES, INC.
October 23, 1986 - December 4, 1989
WESTCAP SECURITIES, L.P.
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
Current Firm
SANCTUARY SECURITIES, INC.
CRD#: 205 / SEC#: 801-67588, 8-22752
Contact information
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.
