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Antonia Maria La Rocca

Sanctuary Advisors, LLC

Santa Barbara, CA

CRD 2664713

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Employer firm

Sanctuary Advisors, LLC CRD 226606

$34.9B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Sanctuary Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-04-19
TX RA APPROVED 2022-04-19
  • CA RA
    APPROVED
    Since 2022-04-19
  • TX RA
    APPROVED
    Since 2022-04-19

Branch Locations

21 E Carillo Street Suite 100, Santa Barbara, CA 93101 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Santa Barbara CA 04/2008 Present
Sanctuary Securities, Inc. Santa Barbara CA 04/2022 Present
Sanctuary Adviors, Llc Santa Barbara CA 04/2022 Present
  • 04/2008 → Present
    Santa Barbara, CA
  • 04/2022 → Present
    Sanctuary Securities, Inc.
    Santa Barbara, CA
  • 04/2022 → Present
    Sanctuary Adviors, Llc
    Santa Barbara, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-06
S63 Uniform Securities Agent State Law Examination 1995-10-20
  • S65 Uniform Investment Adviser Law Examination
    1995-11-06
  • S63 Uniform Securities Agent State Law Examination
    1995-10-20
Other Names
  • Antonia Maria Laroccamccullough
  • Antonia Maria Larocca

View on SEC IAPD

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