AR
Arthur E. Rozema
SANCTUARY ADVISORS
Louisville, KY 40222
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CRD#: 2073533
AR
Professional summary
Arthur Edward Rozema, who also goes by Arthur E Rozema, is a registered financial advisor currently at SANCTUARY ADVISORS, LLC located in Louisville, Kentucky and SANCTUARY SECURITIES, INC. located in Louisville, Kentucky.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Arthur has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10, Series 24, Series 23, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arthur E Rozema
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) - RIA
Click below to view Arthur Edward Rozema's 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®
NoneExperience
Current
July 22, 2025 - Present
SANCTUARY ADVISORS, LLC
Office #1: 7511 New La Grange Road, Louisville, KY 40222RIA
CRD#: 226606
Louisville, KY
Current
July 21, 2025 - Present
SANCTUARY SECURITIES, INC.
Office #1: 7511 New La Grange Road, Louisville, KY 40222BD
CRD#: 205
Louisville, KY
Past
April 12, 2019 - June 12, 2025
MORGAN STANLEY
RIA
CRD#: 149777
Louisville, KY
Past
April 12, 2019 - June 12, 2025
MORGAN STANLEY
BD
CRD#: 149777
Louisville, KY
Past
July 13, 2018 - April 8, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
LOUISVILLE, KY
Past
May 21, 2018 - May 24, 2018
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
LOUISVILLE, KY
Past
May 21, 2018 - April 8, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
April 17, 2015 - May 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HUNTINGTON, WV
Past
April 16, 2015 - May 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HUNTINGTON, WV
Past
May 24, 2005 - December 31, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
October 6, 2004 - April 7, 2015
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
MILWAUKEE, WI
Past
October 6, 2004 - April 7, 2015
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
November 5, 2003 - October 4, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBUS, OH
Past
November 18, 1998 - November 4, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBUS, OH
Past
August 22, 1990 - October 4, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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 | 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 | THE CHAPA & SALINAS PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | TENET WEALTH PARTNERS | STRATEGIC WEALTH CAPITAL | SOUTHERN OAK WEALTH GROUP | 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 | PARAGON PRIVATE WEALTH MANAGEMENT | OTLEY PRIVATE WEALTH MANAGEMENT | NOYES ADVISORS LLC | NOYES ADVISORS | NOBLEVEST PRIVATE WEALTH | NOBLE WEALTH PARTNERS | NEWSPRING WEALTH PARTNERS | 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 CAPITAL | MESA POINTE WEALTH | 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 | KETORET CAPITAL | JDK WEALTH ADVISORS | JACKSON HILL & FISH PRIVATE WEALTH ADVISORS | ITERHIC WEALTH ADVISORS | INNOVISE FAMILY WEALTH ADVISORS, LLC | INNOVISE FAMILY WEALTH ADVISORS | HOLDER LEGACY WEALTH PARTNERS | HILLGUARD WEALTH MANAGEMENT | HEREDITAS WEALTH MANAGEMENT | 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 | 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 | 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 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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/30/2025)
RR
Alaska(8/4/2025)
RR
Arizona(8/5/2025)
RR
Arkansas(10/30/2025)
RR
California(7/29/2025)
RR
Colorado(7/30/2025)
RR
Connecticut(7/30/2025)
RR
Delaware(7/30/2025)
RR
District of Columbia(7/31/2025)
RR
Florida(7/30/2025)
RR
Georgia(7/30/2025)
RR
Hawaii(9/8/2025)
RR
Idaho(8/4/2025)
RR
Illinois(8/4/2025)
RR
Indiana(7/30/2025)
RR
Iowa(7/30/2025)
RR
Kansas(7/29/2025)
RR
Kentucky(7/22/2025)
IAR
Kentucky(7/22/2025)
RR
Louisiana(7/29/2025)
RR
Maine(7/31/2025)
RR
Maryland(7/31/2025)
RR
Massachusetts(7/30/2025)
RR
Michigan(7/31/2025)
RR
Minnesota(7/29/2025)
RR
Mississippi(7/30/2025)
RR
Missouri(7/30/2025)
RR
Montana(8/5/2025)
RR
Nebraska(7/29/2025)
RR
Nevada(7/30/2025)
RR
New Hampshire(7/30/2025)
RR
New Jersey(7/30/2025)
RR
New Mexico(7/30/2025)
RR
New York(7/31/2025)
RR
North Carolina(8/6/2025)
RR
North Dakota(7/29/2025)
RR
Ohio(7/30/2025)
RR
Oklahoma(7/30/2025)
RR
Oregon(7/30/2025)
RR
Pennsylvania(7/30/2025)
RR
Rhode Island(7/30/2025)
RR
South Carolina(7/30/2025)
RR
South Dakota(7/30/2025)
RR
Tennessee(7/30/2025)
RR
Texas(7/30/2025)
IAR
Texas(7/30/2025)
RR
Utah(7/30/2025)
RR
Vermont(7/30/2025)
RR
Virginia(7/30/2025)
RR
Washington(7/29/2025)
RR
West Virginia(8/6/2025)
RR
Wisconsin(8/6/2025)
RR
Wyoming(7/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/12/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
SA
SANCTUARY ADVISORS, LLC
1280 FINANCIAL PARTNERS | WOLFRUM CAPITAL MANAGEMENT GROUP | WIGAND INTEGRATED 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 | THE CHAPA & SALINAS PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | TENET WEALTH PARTNERS | STRATEGIC WEALTH CAPITAL | SOUTHERN OAK WEALTH GROUP | 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 | PARAGON PRIVATE WEALTH MANAGEMENT | OTLEY PRIVATE WEALTH MANAGEMENT | NOYES ADVISORS LLC | NOYES ADVISORS | NOBLEVEST PRIVATE WEALTH | NOBLE WEALTH PARTNERS | NEWSPRING WEALTH PARTNERS | 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 CAPITAL | MESA POINTE WEALTH | 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 | KETORET CAPITAL | JDK WEALTH ADVISORS | JACKSON HILL & FISH PRIVATE WEALTH ADVISORS | ITERHIC WEALTH ADVISORS | INNOVISE FAMILY WEALTH ADVISORS, LLC | INNOVISE FAMILY WEALTH ADVISORS | HOLDER LEGACY WEALTH PARTNERS | HILLGUARD WEALTH MANAGEMENT | HEREDITAS WEALTH MANAGEMENT | 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 | 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 | 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 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
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Contact information
Main Address
1450 Brickell Avenue Suite 2610, Miami, FL 33131
Mailing Address
Phone number
(317) 975-7729
Established
Firm type
Fiscal year end
# of Employees
699
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 55,540 |
| AUM (Assets Under Management) | $ 27,696,000,000 |
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.
Company Information
SANCTUARY ADVISORS, LLC
CRD#: 226606Louisville, KY 40222TRUST BUT VERIFY
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