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Current Employers
Sanctuary Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-06-13
  • NJ RA
    APPROVED
    Since 2022-06-13

Branch Locations

51 Jfk Parkway Suite 110, Short Hills, NJ 07078 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Summit NJ 01/2013 06/2022
Bank Of America, N.A. Summit NJ 01/2013 06/2022
Sanctuary Securities, Inc. Short Hills NJ 06/2022 Present
Sanctuary Advisors, Llc Short Hills NJ 06/2022 Present
Previous Registrations
  • 2013-01-10 → 2022-06-13
    Summit, NJ
  • 2009-06-01 → 2013-02-05
    Short Hills, NJ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Short Hills, NJ
  • 2006-08-18 → 2007-04-02
    Morgan Stanley Dw Inc.
    Short Hills, NJ
  • 2002-05-20 → 2006-08-24
    J. B. Hanauer & Co.
    Parsippany, NJ
    Parsippany, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-15
S63 Uniform Securities Agent State Law Examination 1985-05-22
  • S65 Uniform Investment Adviser Law Examination
    2002-05-15
  • S63 Uniform Securities Agent State Law Examination
    1985-05-22
Other Names
  • James Martin Rohmann

View on SEC IAPD

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