JK
James L. Kelly
SANCTUARY SECURITIES
Fulshear, TX 77441
Some features on this profile are disabled
CRD#: 2199095
JK
Professional summary
James Lee Kelly is a registered financial professional currently at SANCTUARY SECURITIES, INC. located in Fulshear, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 1991. James has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view James Lee Kelly'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
September 26, 2018 - Present
SANCTUARY SECURITIES, INC.
Office #1: 28531 Hoffman Springs Lane, Fulshear, TX 77441BD
CRD#: 205
Fulshear, TX
Past
August 31, 2009 - October 24, 2018
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
KATY, TX
Past
June 11, 2008 - September 10, 2009
SECUREVEST FINANCIAL GROUP
BD
CRD#: 10100
HOUSTON, TX
Past
November 23, 2005 - June 11, 2008
CAPNET SECURITIES CORPORATION
BD
CRD#: 23669
HOUSTON, TX
Past
September 13, 2002 - October 27, 2003
CAPNET SECURITIES CORPORATION
BD
CRD#: 23669
HOUSTON, TX
Past
June 7, 2001 - November 17, 2005
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
BD
CRD#: 41055
HOUSTON, TX
Past
October 30, 2000 - June 12, 2001
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
January 5, 2000 - October 10, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
August 26, 1999 - December 9, 1999
APS FINANCIAL CORPORATION
BD
CRD#: 10033
AUSTIN, TX
Past
July 7, 1998 - May 27, 1999
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
BD
CRD#: 41055
HOUSTON, TX
Past
April 2, 1996 - November 22, 1996
MEYERS POLLOCK ROBBINS, INC.
BD
CRD#: 13436
NEW YORK, NY
Past
October 27, 1995 - April 2, 1996
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
August 23, 1995 - October 23, 1995
M. J. WHITMAN, INC.
BD
CRD#: 27870
NEW YORK, NY
Past
April 7, 1995 - August 7, 1995
WESTCAP SECURITIES, L.P.
BD
CRD#: 7301
HOUSTON, TX
Past
August 20, 1994 - April 28, 1995
MERIDIAN SECURITIES, INC.
BD
CRD#: 16468
Past
August 4, 1994 - August 25, 1994
TDI, INCORPORATED
BD
CRD#: 30629
ENGLEWOOD, CO
Past
July 8, 1994 - August 30, 1994
THE TRADING DESK, INC.
BD
CRD#: 22908
Past
November 18, 1993 - July 20, 1994
WESTCAP SECURITIES, L.P.
BD
CRD#: 7301
HOUSTON, TX
Past
December 4, 1991 - October 28, 1993
MARCUS, STOWELL & BEYE, INC.
BD
CRD#: 7038
FORT LAUDERDALE, FL
Past
December 4, 1991 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
BD
CRD#: 19184
FORT LAUDERDALE, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Colorado(3/20/2020)
RR
Florida(11/22/2019)
RR
Iowa(9/26/2018)
RR
Kansas(3/20/2020)
RR
Texas(9/26/2018)
RR
Wisconsin(4/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SANCTUARY SECURITIES, INC.
1280 FINANCIAL PARTNERS | WIGAND INTEGRATED WEALTH | VINCITA INVESTMENT PARTNERS | VELORUM WEALTH MANAGEMENT | VALOROUS PRIVATE WEALTH | UPLAND PRIVATE WEALTH | TOVA WEALTH | THEOREM WEALTH MANAGEMENT | THE MANCUSI GROUP | THE LONGO GROUP | TENET WEALTH PARTNERS | SOUTHERN OAK WEALTH GROUP | SMITHBERG WEALTH | SKYPATH PRIVATE WEALTH | SANCTUARY WEALTH PARTNERS | SANCTUARY WEALTH ADVISORS | SANCTUARY SECURITIES, INC. | SANCTUARY SECURITIES | SANCTUARY GLOBAL | SAIGE PRIVATE WEALTH | ROCKET FINANCE | RICEBARRETT FAMILY WEALTH | RHA WEALTH | QUORUM PRIVATE WEALTH | QUESTAR CAPITAL PARTNERS | PRARIEFIRE WEALTH | PRAETEGO PRIVATE WEALTH | PEREZ PRIVATE WEALTH GROUP | OTLEY PRIVATE WEALTH MANAGEMENT | ORDORICA & DE LA GARZA PRIVATE WEALTH GROUP | NOYES GROUP, LLC | NOBLEVEST PRIVATE WEALTH | NOBLE WEALTH ADVISORS | NEWSPRING WEALTH MANAGEMENT | 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 | MESA POINTE WEALTH | MERCER WEALTH MANAGEMENT | MARBLE WEALTH | MACKIE & WALLER WEALTH MANAGEMENT | M&K LEGACY WEALTH | LOPEZ PRIVATE WEALTH GROUP | LIONS WEALTH PARTNERS | LEBLANC FINANCIAL GROUP | JDK WEALTH | JACKSON HILL & FISH PRIVATE WEALTH ADVISORS | ITERHIC WEALTH ADVISORS | INNOVISE FAMILY WEALTH ADVISORS, LLC | HOLDER LEGACY WEALTH PARTNERS | HILLGUARD WEALTH MANAGEMENT | HEREDITAS WEALTH MANAGEMENT | GUERRERO PRIVATE WEALTH GROUP | GREEN WEALTH MANAGEMENT GROUP | GRANITE ISLANDS PRIVATE WEALTH | GLOMB PRIVATE WEALTH | G SQUARED PRIVATE WEALTH | FUENTES HONDERMANN WEALTH MANAGEMENT | FAMIGLIA WEALTH | EXCELSIS GLOBAL PRIVATE WEALTH | EVANS MAY WEALTH | ENSCONCE WEALTH PARTNERS | ECLIPSE PRIVATE WEALTH MANAGEMENT | DIAL SQUARE PRIVATE WEALTH | DIAGONAL INVESTMENT OFFICE | DC HILL WEALTH MANAGEMENT | DAVID A. NOYES & COMPANY | CROSSWATERS WEALTH MANAGEMENT | CRESCENT PINE FAMILY OFFICE GROUP | CRESCENT HARBOR PRIVATE WEALTH | CREDO WEALTH MANAGEMENT | COPPERSKY WEALTH | COOKE FINANCIAL GROUP LLC | CONVERSANT WEALTH MANAGEMENT | CONCENTURE WEALTH MANAGEMENT | CLAYBOURN FRAKES | CHAPPELL WEALTH MANAGEMENT | CHAPA & SALINAS PRIVATE WEALTH GROUP | CHADWICK BAY INVESTMENTS | CERULEAN PRIVATE WEALTH ADVISORS, LLC | CENTERAS PRIVATE WEALTH | CEDAR GAP WEALTH MANAGEMENT | CARPION PRIVATE WEALTH | CAPE ROCK PRIVATE WEALTH | BURNHAM HARBOR PRIVATE WEALTH | BOWERSOCK CAPITAL PARTNERS | BAYLEY INVESTMENT GROUP | AZIMUT GENESIS ADVISORS | AZ APICE - CAPITAL MANAGEMENT | AUSPERITY PRIVATE WEALTH | AURIC PRIVATE WEALTH | AURIC CAPITAL PARTNERS | ARRAS WEALTH MANAGEMENT | ALLUVIAL PRIVATE WEALTH | ALFA ADVISORY | ACORN ADVISORS GROUP | 6 DEGREES WEALTH | 401K PLAN ADVISOR | 18FORTY8 PRIVATE WEALTH
CRD#: 205 / SEC#: 801-67588, 8-22752
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
1450 Brickell Avenue Suite 2610, Miami, FL 33131
Mailing Address
1450 Brickell Avenue Suite 2610, Miami, FL 33131
Phone number
(317) 975-7729
Established
Illinois since 03/07/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
Company Information
SANCTUARY SECURITIES, INC.
CRD#: 205Fulshear, TX 77441TRUST BUT VERIFY
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