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Monica Janette Lua

Sanctuary Securities, Inc.

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About Monica Janette Lua

Monica Lua is a registered representative of Sanctuary Securities, Inc. Monica has been in the industry since May 2019. Monica has passed the General Securities Representative Examination (Series 7TO) and the Securities Industry Essentials Examination (SIE). Monica previously worked at UBS Financial Services Inc. in Santa Barbara.

Firm Information

Monica Lua 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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Monica Lua’s Registration & Firm History

CA

04/18/2022 - Present

Sanctuary Securities, Inc. (SANTA BARBARA CA)

CA

05/10/2019 - 04/27/2022

UBS FINANCIAL SERVICES INC. (SANTA BARBARA CA)

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Licenses & Designations

BC

Issued 05/10/2019

Series 7TO - General Securities Representative Examination

BC

Issued 03/29/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Monica Janette Lua.
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