James L. Kelly
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 Lee Kelly was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2018 - April 27, 2026
SANCTUARY SECURITIES, INC.
August 31, 2009 - October 24, 2018
WORLD EQUITY GROUP, INC.
June 11, 2008 - September 10, 2009
SECUREVEST FINANCIAL GROUP
November 23, 2005 - June 11, 2008
CAPNET SECURITIES CORPORATION
September 13, 2002 - October 27, 2003
CAPNET SECURITIES CORPORATION
June 7, 2001 - November 17, 2005
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
October 30, 2000 - June 12, 2001
OSAIC FS, INC.
January 5, 2000 - October 10, 2000
PRUCO SECURITIES, LLC.
August 26, 1999 - December 9, 1999
APS FINANCIAL CORPORATION
July 7, 1998 - May 27, 1999
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
April 2, 1996 - November 22, 1996
MEYERS POLLOCK ROBBINS, INC.
October 27, 1995 - April 2, 1996
MOMENTUM INDEPENDENT NETWORK INC.
August 23, 1995 - October 23, 1995
M. J. WHITMAN, INC.
April 7, 1995 - August 7, 1995
WESTCAP SECURITIES, L.P.
August 20, 1994 - April 28, 1995
MERIDIAN SECURITIES, INC.
August 4, 1994 - August 25, 1994
TDI, INCORPORATED
July 8, 1994 - August 30, 1994
THE TRADING DESK, INC.
November 18, 1993 - July 20, 1994
WESTCAP SECURITIES, L.P.
December 4, 1991 - October 28, 1993
MARCUS, STOWELL & BEYE, INC.
December 4, 1991 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
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
Current Firm
SANCTUARY SECURITIES, INC.
CRD#: 205 / SEC#: 801-67588, 8-22752
Contact information
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.
