James M. Sanders
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.
James Michael Sanders was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had 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.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2018 - August 7, 2026
VENTURI PRIVATE WEALTH
October 23, 2012 - October 4, 2016
IRC SECURITIES LLC
April 10, 2009 - November 14, 2011
DAVIS, MENDEL & REGENSTEIN, INC.
May 3, 1985 - July 3, 2008
GOLDMAN SACHS & CO. LLC
March 19, 1985 - April 12, 1985
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
VENTURI PRIVATE WEALTH
CRD#: 169576 / SEC#: 801-78932
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 5
Date: 9/25/1989
Interest Rate Options ExaminationSeries 15
Date: 9/18/1989
Foreign Currency Options ExaminationSeries 8
Date: 3/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VENTURI PRIVATE WEALTH
CRD#: 169576 / SEC#: 801-78932
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,555 |
| AUM (Assets Under Management) | $ 3,581,250,224 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 02/03/2025 |
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.
