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1450 Brickell Avenue Suite 2610, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-01-18 |
| TX | RA | APPROVED | 2024-01-18 |
Branch Locations
651 Perimeter Center Suite 215, Lexington, KY 40517 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Sevices Inc | Lexington | KY | 09/2007 | 01/2024 |
| Sanctuary Securities, Inc. | Lexington | KY | 01/2024 | Present |
| Sanctuary Advisors Llc | Lexington | KY | 01/2024 | Present |
1) Name: Fields to Forest, LLC Position: Partner Nature: Planting, maintaining and harvesting native KY deciduous trees. Investment Related: No Hours: 20 Securities Trading Hours: 0 Start Date: 3/4/2013 Address: 3374 Briar Hill Road, Lexington KY 40516, United States Description: Following planting, the pruning and selectively thinning a forest of 18,000 trees planted. Follow counsel of U.S. Forestry and KY Forestry Departments with regard to continued maintenance and care of trees. Assist with potting of new seedlings for nursery. 2) Name: St. Peter's Episcopal Church Position: Advisor to Church Endowment Funds Nature: Charitable support of community Investment Related: Yes Hours: 15 Securities Trading Hours: 0 Start Date: 7/31/2023 Address: 311 High St., Paris KY 40361, United States Description: Meet, review and advise on condition/health of endowment funds. 3) Name: Episcopal Diocese of Lexington Position: Advisor to Endowment Funds Nature: Financial and ministerial support of churches within the Episcopal Diocese of Lexington Investment Related: Yes Hours: 15 Securities Trading Hours: 0 Start Date: 10/01/2023 Address: 225 Walton Avenue, Lexington KY 40502, United States Description: Meet, review and advise on condition/health of endowment funds invested on the behalf of Episcopal Diocese of Lexington. 4) ACPM/ACADEMY OF CERTIFIED PORTFOLIO MANAGERS POSITION: Board of Directors NATURE: Administrative and awareness marketing. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 10/06/2025 ADDRESS: PO Box 275, Eastlake CO 80614, United States DESCRIPTION: Promote and increase awareness of ACPM to colleagues.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-28 |
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