RA
Roy M. Alvis, Jr.
Some features on this profile are disabled
CRD#: 1919595
RA
Roy Maxwell Alvis, Jr. JR
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.
Roy Maxwell Alvis, Jr. JR, CIMA®, who also goes by Max Alvis Jr, Max Alvis, Roy Maxwell Alvis Jr, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1989. Roy had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Aliases
Max Alvis Jr | Max Alvis | Roy Maxwell Alvis Jr
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.
1) Name: Estate of Betty Sexton Brown Position: Administrator Nature: Administrator for the estate of my Mother In Law, Better Sexton Brown Investment Related: Yes Hours: 4Securities Trading Hours: 0 Start Date: 09/19/2019 Address: 1908 Columbine Drive, Lufkin TX 75904, United States Description: Administrator of the estate including distribution of assets for the estate of Betty Sexton Brown (Mother in Law) 2) PANTHERTOWN HOLDINGS, LLC POSITION: Manager NATURE: The LLC was created as an entity to hold the deed of a 2nd home that my wife, Sally, and I built in North Carolina. The use of the LLC to hold the property provides efficient estate transfer of property out of the state of Texas. The home was completed in October 2023 for use by my immediate family. The home will not be used for rental purposes and no income will occur. The LLC currently has no assets and it is anticipated the deed transfer process will begin in May 2024. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 9/15/2023 ADDRESS: 1908 Columbine Drive, Lufkin TX 75904, United States DESCRIPTION: Sally and I are 50 / 50 owners (members) and managers of the LLC. Our duties are the management and oversight of the LLC.
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®
Experience
Past
August 19, 2022 - October 2, 2026
SANCTUARY ADVISORS, LLC
RIA
CRD#: 226606
DIBOLL, TX
Past
August 19, 2022 - October 2, 2026
SANCTUARY SECURITIES, INC.
BD
CRD#: 205
DIBOLL, TX
Past
September 24, 1991 - August 24, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LUFKIN, TX
Past
September 24, 1991 - August 24, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LUFKIN, TX
Past
January 24, 1989 - October 9, 1990
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
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".
SA
SANCTUARY ADVISORS, LLC
1280 FINANCIAL PARTNERS | WOLFRUM CAPITAL MANAGEMENT GROUP | WIGAND INTEGRATED WEALTH | WEST AVENUE PRIVATE WEALTH | WESLEY BATES | WALLS WEALTH MANAGEMENT | VOSS GENELLY GROUP | VINCITA INVESTMENT PARTNERS | VELORUM WEALTH MANAGEMENT | VALOROUS ADVISORS | UPLAND PRIVATE WEALTH | TOVA WEALTH | THEOREM WEALTH MANAGEMENT | THE PEREZ PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE ORODICA & DE LA GARZA PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE MANCUSI GROUP | THE LOPEZ PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE LONGO GROUP | THE GUERRERO PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | TENET WEALTH PARTNERS | STRATEGIC WEALTH CAPITAL | SOUTHERN OAK WEALTH GROUP | SOTERIS PRIVATE WEALTH | SMITHBERG WEALTH | SLK PRIVATE WEALTH | SKYPATH PRIVATE WEALTH | SANCTUARY WEALTH PARTNERS | SANCTUARY WEALTH GROUP | SANCTUARY WEALTH ADVISORS | SANCTUARY SECURITIES | SANCTUARY INVESTMENT SOLUTIONS | SANCTUARY INSURANCE SOLUTIONS | SANCTUARY GLOBAL (MIAMI) | SANCTUARY GLOBAL | SANCTUARY ASSET MANAGEMENT | SANCTUARY ALTERNATIVE HOLDINGS | SANCTUARY ADVISORS, LLC | SAIGE PRIVATE WEALTH | ROCKET FINANCE | RICEBARRETT FAMILY WEALTH | RHA WEALTH | QUORUM PRIVATE WEALTH | QUIRINI WEALTH GROUP | QUESTAR CAPITAL PARTNERS | PURPLE SECTOR INVESTMENTS, LLC | PRAIRIEFIRE WEALTH PLANNING | PRAETEGO PRIVATE WEALTH | PIERSTONE WEALTH MANAGEMENT | PARAGON PRIVATE WEALTH MANAGEMENT | OTLEY PRIVATE WEALTH MANAGEMENT | OTLEY INVESTMENT FIDUCIARY SOLUTIONS | OPT WEALTH MANAGEMENT | NOYES ADVISORS LLC | NOYES ADVISORS | NOBLEVEST PRIVATE WEALTH | NOBLE WEALTH PARTNERS | NEXUSPATH WEALTH | NEXUSPATH | NEWSPRING WEALTH PARTNERS | NAVIS WEALTH MANAGEMENT | NAVASYNC PRIVATE WEALTH | MUIRWOOD PRIVATE WEALTH | MONROE FINANCIAL GROUP | MILLER ASHER PRIVATE WEALTH | MFORCE WEST TEXAS | MFORCE CAPITAL ARKANSAS, MARRIOTT WEALTH ADVISORS | MFORCE CAPITAL - FOSSIL ROCK PRIVATE WEALTH | MFORCE CAPITAL | MERCER WEALTH MANAGEMENT | MARRIOTT WEALTH ADVISORS, INC., A DIVISION OF MFORCE CAPITAL | MARKSMAN WEALTH MANAGEMENT | MARBLE WEALTH | MACKIE & WALLER WEALTH MANAGEMENT | M&K LEGACY WEALTH | LIONS WEALTH PARTNERS | LEGACY WEALTH GROUP | LEBLANC FINANCIAL GROUP | KZ PRIVATE WEALTH | KETORET CAPITAL | JDK WEALTH ADVISORS | JACKSON HILL & FISH PRIVATE WEALTH ADVISORS | ITERHIC WEALTH ADVISORS | IRON NORTH PRIVATE WEALTH | INNOVISE FAMILY WEALTH ADVISORS, LLC | INNOVISE FAMILY WEALTH ADVISORS | HOLDER LEGACY WEALTH PARTNERS | HILLGUARD WEALTH MANAGEMENT | HEREDITAS WEALTH MANAGEMENT | HELENIA PRIVATE WEALTH | HARBOR ASSET PRIVATE WEALTH | GREEN WEALTH MANAGEMENT GROUP | GRANITE ISLANDS PRIVATE WEALTH | GLOMB PRIVATE WEALTH | GFC PLANNING | G SQUARED PRIVATE WEALTH | G SQUARED - THE HARDCASTLE GROUP | FUENTES-HONDERMANN WEALTH MANAGEMENT | FLUENS WEALTH | FJELL CAPITAL | FAMIGLIA WEALTH | EVERNEST FINANCIAL ADVISORS | EVANS MAY WEALTH | ENSCONCE WEALTH PARTNERS | ENCLAVE WEALTH ADVISORS | ECLIPSE PRIVATE WEALTH MANAGEMENT | DIAL SQUARE PRIVATE WEALTH | DIAGONAL INVESTMENT OFFICE | DC HILL WEALTH MANAGEMENT | DAVID A. NOYES | CROSSWATERS WEALTH MANAGEMENT | CRESCENT PINE FAMILY OFFICE GROUP | CRESCENT HARBOR PRIVATE WEALTH | CREDO WEALTH MANAGEMENT, LLC | CRECIENDO WEALTH | COPPERSKY WEALTH | COOKE FINANCIAL GROUP LLC | CONVERSANT WEALTH MANAGEMENT | CONCENTURE WEALTH MANAGEMENT | CLAYBOURN FRAKES | CHAPPELL WEALTH MANAGEMENT | CHADWICK BAY INVESTMENTS | CERULEAN PRIVATE WEALTH ADVISORS, LLC | CENTERAS PRIVATE WEALTH | CENTEL WEALTH ADVISORY | CEDAR GAP WEALTH MANAGEMENT | CARPION PRIVATE WEALTH | CAPITAL MANAGEMENT GROUP | CAPE ROCK PRIVATE WEALTH | BURNHAM HARBOR PRIVATE WEALTH | BOWERSOCK CAPITAL PARTNERS | BAYLEY INVESTMENT GROUP | AZIZ CAPITAL MANAGEMENT LLC | AUSPERITY PRIVATE WEALTH | AURIC CAPITAL PARTNERS | ARRAS WEALTH MANAGEMENT | ALLUVIAL PRIVATE WEALTH | ALFA ADVISORY | ACORN ADVISORS GROUP | ACEAL WEALTH DBA SOUTHERN OAK | 6 DEGREES WEALTH | 401K PLAN ADVISOR | 3 SEEDS WEALTH ADVISORS | 18FORTY8 PRIVATE WEALTH
CRD#: 226606 / SEC#: 801-99364
RIA
Registered Investment Advisory firm - (7/10/2015 Approved)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
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
PR
Series 10
Passed: 2/5/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
PR
Series 9
Passed: 2/4/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
Current Firm
SA
SANCTUARY ADVISORS, LLC
1280 FINANCIAL PARTNERS | WOLFRUM CAPITAL MANAGEMENT GROUP | WIGAND INTEGRATED WEALTH | WEST AVENUE PRIVATE WEALTH | WESLEY BATES | WALLS WEALTH MANAGEMENT | VOSS GENELLY GROUP | VINCITA INVESTMENT PARTNERS | VELORUM WEALTH MANAGEMENT | VALOROUS ADVISORS | UPLAND PRIVATE WEALTH | TOVA WEALTH | THEOREM WEALTH MANAGEMENT | THE PEREZ PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE ORODICA & DE LA GARZA PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE MANCUSI GROUP | THE LOPEZ PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE LONGO GROUP | THE GUERRERO PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | TENET WEALTH PARTNERS | STRATEGIC WEALTH CAPITAL | SOUTHERN OAK WEALTH GROUP | SOTERIS PRIVATE WEALTH | SMITHBERG WEALTH | SLK PRIVATE WEALTH | SKYPATH PRIVATE WEALTH | SANCTUARY WEALTH PARTNERS | SANCTUARY WEALTH GROUP | SANCTUARY WEALTH ADVISORS | SANCTUARY SECURITIES | SANCTUARY INVESTMENT SOLUTIONS | SANCTUARY INSURANCE SOLUTIONS | SANCTUARY GLOBAL (MIAMI) | SANCTUARY GLOBAL | SANCTUARY ASSET MANAGEMENT | SANCTUARY ALTERNATIVE HOLDINGS | SANCTUARY ADVISORS, LLC | SAIGE PRIVATE WEALTH | ROCKET FINANCE | RICEBARRETT FAMILY WEALTH | RHA WEALTH | QUORUM PRIVATE WEALTH | QUIRINI WEALTH GROUP | QUESTAR CAPITAL PARTNERS | PURPLE SECTOR INVESTMENTS, LLC | PRAIRIEFIRE WEALTH PLANNING | PRAETEGO PRIVATE WEALTH | PIERSTONE WEALTH MANAGEMENT | PARAGON PRIVATE WEALTH MANAGEMENT | OTLEY PRIVATE WEALTH MANAGEMENT | OTLEY INVESTMENT FIDUCIARY SOLUTIONS | OPT WEALTH MANAGEMENT | NOYES ADVISORS LLC | NOYES ADVISORS | NOBLEVEST PRIVATE WEALTH | NOBLE WEALTH PARTNERS | NEXUSPATH WEALTH | NEXUSPATH | NEWSPRING WEALTH PARTNERS | NAVIS WEALTH MANAGEMENT | NAVASYNC PRIVATE WEALTH | MUIRWOOD PRIVATE WEALTH | MONROE FINANCIAL GROUP | MILLER ASHER PRIVATE WEALTH | MFORCE WEST TEXAS | MFORCE CAPITAL ARKANSAS, MARRIOTT WEALTH ADVISORS | MFORCE CAPITAL - FOSSIL ROCK PRIVATE WEALTH | MFORCE CAPITAL | MERCER WEALTH MANAGEMENT | MARRIOTT WEALTH ADVISORS, INC., A DIVISION OF MFORCE CAPITAL | MARKSMAN WEALTH MANAGEMENT | MARBLE WEALTH | MACKIE & WALLER WEALTH MANAGEMENT | M&K LEGACY WEALTH | LIONS WEALTH PARTNERS | LEGACY WEALTH GROUP | LEBLANC FINANCIAL GROUP | KZ PRIVATE WEALTH | KETORET CAPITAL | JDK WEALTH ADVISORS | JACKSON HILL & FISH PRIVATE WEALTH ADVISORS | ITERHIC WEALTH ADVISORS | IRON NORTH PRIVATE WEALTH | INNOVISE FAMILY WEALTH ADVISORS, LLC | INNOVISE FAMILY WEALTH ADVISORS | HOLDER LEGACY WEALTH PARTNERS | HILLGUARD WEALTH MANAGEMENT | HEREDITAS WEALTH MANAGEMENT | HELENIA PRIVATE WEALTH | HARBOR ASSET PRIVATE WEALTH | GREEN WEALTH MANAGEMENT GROUP | GRANITE ISLANDS PRIVATE WEALTH | GLOMB PRIVATE WEALTH | GFC PLANNING | G SQUARED PRIVATE WEALTH | G SQUARED - THE HARDCASTLE GROUP | FUENTES-HONDERMANN WEALTH MANAGEMENT | FLUENS WEALTH | FJELL CAPITAL | FAMIGLIA WEALTH | EVERNEST FINANCIAL ADVISORS | EVANS MAY WEALTH | ENSCONCE WEALTH PARTNERS | ENCLAVE WEALTH ADVISORS | ECLIPSE PRIVATE WEALTH MANAGEMENT | DIAL SQUARE PRIVATE WEALTH | DIAGONAL INVESTMENT OFFICE | DC HILL WEALTH MANAGEMENT | DAVID A. NOYES | CROSSWATERS WEALTH MANAGEMENT | CRESCENT PINE FAMILY OFFICE GROUP | CRESCENT HARBOR PRIVATE WEALTH | CREDO WEALTH MANAGEMENT, LLC | CRECIENDO WEALTH | COPPERSKY WEALTH | COOKE FINANCIAL GROUP LLC | CONVERSANT WEALTH MANAGEMENT | CONCENTURE WEALTH MANAGEMENT | CLAYBOURN FRAKES | CHAPPELL WEALTH MANAGEMENT | CHADWICK BAY INVESTMENTS | CERULEAN PRIVATE WEALTH ADVISORS, LLC | CENTERAS PRIVATE WEALTH | CENTEL WEALTH ADVISORY | CEDAR GAP WEALTH MANAGEMENT | CARPION PRIVATE WEALTH | CAPITAL MANAGEMENT GROUP | CAPE ROCK PRIVATE WEALTH | BURNHAM HARBOR PRIVATE WEALTH | BOWERSOCK CAPITAL PARTNERS | BAYLEY INVESTMENT GROUP | AZIZ CAPITAL MANAGEMENT LLC | AUSPERITY PRIVATE WEALTH | AURIC CAPITAL PARTNERS | ARRAS WEALTH MANAGEMENT | ALLUVIAL PRIVATE WEALTH | ALFA ADVISORY | ACORN ADVISORS GROUP | ACEAL WEALTH DBA SOUTHERN OAK | 6 DEGREES WEALTH | 401K PLAN ADVISOR | 3 SEEDS WEALTH ADVISORS | 18FORTY8 PRIVATE WEALTH
CRD#: 226606 / SEC#: 801-99364
RIA
Registered Investment Advisory firm - (7/10/2015 Approved)Loading...
Contact information
Main Address
1450 Brickell Avenue Suite 2120, Miami, FL 33131
Mailing Address
Phone number
(317) 975-7729
Established
Firm type
Fiscal year end
# of Employees
770
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 62,617 |
| AUM (Assets Under Management) | $ 34,879,400,000 |
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.
