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Nicole Alexandra Garfias

Sanctuary Advisors, LLC

Santa Barbara, CA

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Current Employers
Sanctuary Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-10-04
TX RA APPROVED 2023-10-04
  • CA RA
    APPROVED
    Since 2023-10-04
  • TX RA
    APPROVED
    Since 2023-10-04

Branch Locations

21 E Carillo Street Suite 100, Santa Barbara, CA 93101 • 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
Ubs Financial Services Inc. Santa Barbara CA 12/2017 06/2020
Heritage House Santa Barbara CA 07/2016 12/2017
Wells Fargo Clearing Services, Llc Santa Barbara CA 06/2020 09/2023
Sanctuary Securities, Inc. Santa Barbara CA 09/2023 Present
Sanctuary Advisors Llc Santa Barbara CA 09/2023 Present
  • 12/2017 → 06/2020
    Ubs Financial Services Inc.
    Santa Barbara, CA
  • 07/2016 → 12/2017
    Heritage House
    Santa Barbara, CA
  • 06/2020 → 09/2023
    Wells Fargo Clearing Services, Llc
    Santa Barbara, CA
  • 09/2023 → Present
    Sanctuary Securities, Inc.
    Santa Barbara, CA
  • 09/2023 → Present
    Sanctuary Advisors Llc
    Santa Barbara, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-07
  • S66 Uniform Combined State Law Examination
    2021-06-07
Other Names
  • Nicole Alexandra Garfias
  • Nicole Garfias

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Santa Barbara, CA
KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
MORGAN STANLEY · Santa Barbara, CA
LPL FINANCIAL LLC · SANTA BARBARA, CA

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