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JW

Joseph J. Williams

SANCTUARY SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 2340910
JW

Professional summary

Joseph John Williams JR, who also goes by Joseph John Williams Jr, Joseph John Williams, is a registered financial professional currently at SANCTUARY SECURITIES, INC. located in Miami, Florida.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 7 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 3, Series 7, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph John Williams Jr | Joseph John Williams

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph John Williams JR's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 24, 2024 - Present

SANCTUARY SECURITIES, INC.

Office #1: 1450 Brickell Avenue Suite 2610, Miami, FL 33131
BD
CRD#: 205
MIAMI, FL
Past

January 7, 2021 - March 8, 2023

WILLOW WEALTH MARKETS LLC

BD
CRD#: 172295
NEW YORK, NY
Past

January 16, 2018 - December 4, 2020

ALPHAMAX DISTRIBUTORS, L.L.C.

BD
CRD#: 8258
LA JOLLA, CA
Past

October 16, 2009 - April 30, 2017

COHEN & STEERS SECURITIES, LLC

BD
CRD#: 29258
NEW YORK, NY
Past

January 25, 2008 - October 2, 2009

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
BOSTON, MA
Past

August 11, 1998 - December 14, 2007

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
NEW YORK, NY
Past

April 3, 1993 - November 11, 1998

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY

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
Alabama
(7/24/2024)
RR
Alaska
(7/24/2024)
RR
Arizona
(7/24/2024)
RR
Arkansas
(7/24/2024)
RR
California
(7/24/2024)
RR
Colorado
(7/24/2024)
RR
Connecticut
(7/24/2024)
RR
Delaware
(7/24/2024)
RR
District of Columbia
(7/24/2024)
RR
Florida
(7/24/2024)
RR
Georgia
(7/24/2024)
RR
Hawaii
(7/24/2024)
RR
Idaho
(7/24/2024)
RR
Illinois
(7/24/2024)
RR
Indiana
(7/24/2024)
RR
Iowa
(7/24/2024)
RR
Kansas
(7/24/2024)
RR
Kentucky
(7/24/2024)
RR
Louisiana
(7/24/2024)
RR
Maine
(7/24/2024)
RR
Maryland
(7/24/2024)
RR
Massachusetts
(7/24/2024)
RR
Michigan
(7/24/2024)
RR
Minnesota
(7/24/2024)
RR
Mississippi
(7/24/2024)
RR
Missouri
(7/24/2024)
RR
Montana
(7/24/2024)
RR
Nebraska
(7/24/2024)
RR
Nevada
(7/24/2024)
RR
New Hampshire
(7/24/2024)
RR
New Jersey
(7/24/2024)
RR
New Mexico
(7/24/2024)
RR
New York
(7/24/2024)
RR
North Carolina
(7/24/2024)
RR
North Dakota
(7/24/2024)
RR
Ohio
(7/24/2024)
RR
Oklahoma
(7/24/2024)
RR
Oregon
(7/24/2024)
RR
Pennsylvania
(7/24/2024)
RR
Rhode Island
(7/24/2024)
RR
South Carolina
(7/24/2024)
RR
South Dakota
(7/24/2024)
RR
Tennessee
(7/24/2024)
RR
Texas
(7/24/2024)
RR
Utah
(7/24/2024)
RR
Vermont
(7/24/2024)
RR
Virginia
(7/24/2024)
RR
Washington
(7/24/2024)
RR
West Virginia
(7/24/2024)
RR
Wisconsin
(7/24/2024)
RR
Wyoming
(7/24/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/16/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/26/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/6/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 9/17/2018
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/20/2014
General Securities Principal Examination
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 | 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DAVID A. NOYES & COMPANY DISCLOSURE DOCUMENT (3/5/2015)
DAVID A. NOYES DISCLOSURE DOCUMENT (3/5/2015)

Direct owners and executive officers

NamePositionCRD#
SANCTUARY WEALTH GROUP, LLCSOLE SHAREHOLDER
CHASE, KEVIN PCHIEF COMPLIANCE OFFICER1626158
MILLER, KEVIN JOSEPHCHIEF LEGAL OFFICER AND BOARD MEMBER OF SANCTUARY SECURITIES INC.4133001
SMEAL, TIMOTHY DDIRECTOR OF OPERATIONS4169869
VAUGHAN, DAVIDFINANCIAL OPERATIONS PRINCIPAL- FINOP AND BOARD MEMBER OF SANCTUARY SECURITIES INC.2603399
WALTER, ROBERT ALANPRESIDENT AND CHAIRMAN OF THE BOARD FOR SANCTUARY SECURITIES INC.2507287

Disclosures

Regulatory Event21
Arbitration9
Bond1

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#: 205Miami, FL 33131

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