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Mary Ann Bartels

Sanctuary Securities, Inc.

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About Mary Ann Bartels

Mary Ann Bartels is a registered representative with Sanctuary Securities, Inc. Mary has been in the financial services industry since 2002. Prior to joining Sanctuary Securities, Inc. Mary worked at BOFA SECURITIES, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Mary has a wide range of experience in the financial services industry and holds a number of securities licenses, including Series 2, 3, 7, 24, 63, 65, 86, and 87.

Firm Information

Mary Bartels is currently registered with Sanctuary Securities, Inc.. Sanctuary Securities, Inc. is a corporation formed on March 7, 1978, and is registered in all 50 states, as well as Puerto Rico and the District of Columbia. The firm has a history of regulatory events, with 19 disclosures related to such events, and has been involved in 9 arbitrations and 1 bond disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

64

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Mary Bartels’s Registration & Firm History

NY

03/06/2023 - Present

Sanctuary Securities, Inc. (NEW YORK NY)

NY

05/10/2019 - 06/12/2020

BOFA SECURITIES, INC. (NEW YORK NY)

NY

11/11/1999 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/16/2009

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 01/09/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/01/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/04/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 07/28/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 11/10/1999

Series 7 - General Securities Representative Examination

BC

Issued 12/21/1995

Series 3 - National Commodity Futures Examination

BC

Issued 12/20/1994

Series 2 - Non-Member General Securities Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mary Ann Bartels.
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