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Roger Craig Smithberg

Sanctuary Advisors, LLC

Chicago, IL

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Current Employers
Sanctuary Advisors, Llc

1450 Brickell Avenue Suite 2610, Miami, FL 33131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-12-01
IL RA APPROVED 2015-08-11
  • TX RA
    APPROVED
    Since 2023-12-01
  • IL RA
    APPROVED
    Since 2015-08-11

Branch Locations

209 S Lasalle Street, Chicago, IL 60604 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sanctuary Securities, Inc. Elgin IL 12/1998 Present
Sanctuary Advisors Llc Elgin IL 08/2015 Present
  • 12/1998 → Present
    Sanctuary Securities, Inc.
    Elgin, IL
  • 08/2015 → Present
    Sanctuary Advisors Llc
    Elgin, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-05-28
S63 Uniform Securities Agent State Law Examination 1990-08-04
  • S65 Uniform Investment Adviser Law Examination
    1996-05-28
  • S63 Uniform Securities Agent State Law Examination
    1990-08-04
Designations

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
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