CW
Charles D. Waddell
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CRD#: 4741319
CW
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.
Charles David Waddell, who also goes by Chuck Waddell, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2003. Charles had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chuck Waddell
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)
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®
NoneExperience
Past
July 28, 2020 - May 9, 2023
SANCTUARY SECURITIES, INC.
BD
CRD#: 205
MIAMI, FL
Past
May 14, 2010 - January 15, 2019
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
KATY, TX
Past
February 24, 2009 - September 10, 2009
SECUREVEST FINANCIAL GROUP
BD
CRD#: 10100
HOUSTON, TX
Past
March 21, 2007 - June 17, 2008
GOLDEN BENEFICIAL SECURITIES CORPORATION
BD
CRD#: 48029
HOUSTON, TX
Past
August 14, 2006 - December 17, 2007
ARROWHEAD FINANCIAL SERVICES
RIA
CRD#: 141185
HOUSTON, TX
Past
October 5, 2004 - March 8, 2007
CAPNET ADVISORS INCORPORATED
RIA
CRD#: 130077
HOUSTON, TX
Past
August 2, 2004 - May 4, 2006
CAPNET SECURITIES CORPORATION
BD
CRD#: 23669
HOUSTON, TX
Past
December 19, 2003 - February 25, 2004
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
BIRMINGHAM, AL
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
