James M. Sanders

VENTURI PRIVATE WEALTH

Austin, TX 78746

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CRD#: 1342176

Professional summary

James Michael Sanders is a registered financial advisor currently at VENTURI PRIVATE WEALTH located in Austin, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7, Series 23 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Sanders's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 13, 2018 - Present

VENTURI PRIVATE WEALTH

Office #1: 3600 N. Capital Of Texas Hwy. Building B, Suite 200, Austin, TX 78746

RIA

CRD#: 169576

Austin, TX

Past

October 23, 2012 - October 4, 2016

IRC SECURITIES LLC

CRD#: 150022

NEW YORK, NY

Past

April 10, 2009 - November 14, 2011

DAVIS, MENDEL & REGENSTEIN, INC.

CRD#: 8521

BOSTON, MA

Past

May 3, 1985 - July 3, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

BOSTON, MA

Past

March 19, 1985 - April 12, 1985

MORGAN STANLEY & CO. LLC

CRD#: 8209

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VENTURI PRIVATE WEALTH

IRENE ADVISORS, LLC | VENTURI WEALTH MANAGEMENT, LLC | VENTURI PRIVATE WEALTH

CRD#: 169576 / SEC#: 801-78932

RIA

Registered Investment Advisory firm - (1/2/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(4/13/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/13/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 9/25/1989

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 9/18/1989

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 7/24/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 23

Date: 10/20/2009

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 8

Date: 3/15/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

VENTURI PRIVATE WEALTH

IRENE ADVISORS, LLC | VENTURI WEALTH MANAGEMENT, LLC | VENTURI PRIVATE WEALTH

CRD#: 169576 / SEC#: 801-78932

RIA

Registered Investment Advisory firm - (1/2/2014 Approved)

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Contact information

Main Address

3600 N. Capital Of Texas Hwy. Building B, Suite 200, Austin, TX 78746

Mailing Address

Phone number

(512) 220-2035

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VENTURI ADV PART 2 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	4,488
AUM (Assets Under Management)	$ 3,178,913,424

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
02/03/2025	Cover Page	Report

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.

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Firm Stability Insights

James M. Sanders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Sanders's CRS (Customer Relationship Summary).

Certified licenses

Experience

IRC SECURITIES LLC

DAVIS, MENDEL & REGENSTEIN, INC.

GOLDMAN SACHS & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

VENTURI PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/2018

Series 63

Date: 6/14/1985

SIE

Date: 10/4/2016

Series 5

Date: 9/25/1989

Series 15

Date: 9/18/1989

Series 3

Date: 7/24/1985

Series 7

Date: 3/16/1985

Series 23

Date: 10/20/2009

Series 8

Date: 3/15/1996

Current Firm

VENTURI PRIVATE WEALTH

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VENTURI PRIVATE WEALTH

TRUST BUT VERIFY

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