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KN

Kathryn E. Nakayama

SANCTUARY SECURITIES
Greensboro, NC 27408
Some features on this profile are disabled
CRD#: 7572712
KN

Professional summary

Kathryn Elise Nakayama, who also goes by Kathryn Elise Frater, Kathryn Frater, Kathy Frater, Kat Nakayama, Kathryn Nakayama, Kathy Nakayama, is a registered financial professional currently at SANCTUARY SECURITIES, INC. located in Greensboro, North Carolina.

Kathryn is registered as a RR (Registered Representative) and started their career in finance in 2022. Kathryn has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathryn Elise Frater | Kathryn Frater | Kathy Frater | Kat Nakayama | Kathryn Nakayama | Kathy Nakayama

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 Kathryn Elise Nakayama'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

April 2, 2024 - Present

SANCTUARY SECURITIES, INC.

Office #1: 701 Green Valley Rd Ste 106, Greensboro, NC 27408
BD
CRD#: 205
Greensboro, NC
Past

August 22, 2022 - April 2, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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
(1/9/2025)
RR
California
(4/2/2024)
RR
Connecticut
(1/9/2025)
RR
Delaware
(1/9/2025)
RR
District of Columbia
(1/9/2025)
RR
Florida
(4/2/2024)
RR
Georgia
(4/2/2024)
RR
Illinois
(4/2/2024)
RR
Indiana
(1/9/2025)
RR
Maryland
(1/9/2025)
RR
Massachusetts
(4/2/2024)
RR
Minnesota
(4/2/2024)
RR
Montana
(4/2/2024)
RR
New Jersey
(1/9/2025)
RR
New York
(4/2/2024)
RR
North Carolina
(4/2/2024)
RR
Ohio
(1/9/2025)
RR
Pennsylvania
(1/9/2025)
RR
South Carolina
(4/2/2024)
RR
Texas
(4/2/2024)
RR
Virginia
(4/2/2024)
RR
Washington
(4/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/20/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/15/2022
Securities Industry Essentials 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 | 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)

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#: 205Greensboro, NC 27408

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