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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_RES 2025-07-30
KY RA APPROVED 2025-07-22
  • TX RA
    APPROVED_RES
    Since 2025-07-30
  • KY RA
    APPROVED
    Since 2025-07-22

Branch Locations

7511 New La Grange Road, Louisville, KY 40222 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Louisville KY 04/2015 04/2018
Unemployed Louisville KY 04/2018 05/2018
Jjb Hilliard Wl Lyons, Llc Louisville KY 05/2018 04/2019
Morgan Stanley Louisville KY 04/2019 06/2025
Sanctuary Securities, Inc. Indianapolis IN 07/2025 Present
Sanctuary Advisors Llc Indianapolis IN 07/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-25
S63 Uniform Securities Agent State Law Examination 1990-08-27
  • S65 Uniform Investment Adviser Law Examination
    1998-02-25
  • S63 Uniform Securities Agent State Law Examination
    1990-08-27
Other Names
  • Arthur E Rozema

View on SEC IAPD

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