Sanctuary Wealth
Disclosure Documents
Order routing disclosure
SEC Rule 606 requires all brokerage firms to make available to the public quarterly reports about their order routing practices. The report provides information on the routing of “non-directed orders” – any order that the customer has not specifically instructed to be routed to a particular venue for execution. This information is prepared by our clearing firm, Pershing, LLC.
To access Sanctuary Wealth’s most recent quarterly report, click the link below and enter SANCTUARY SECURITIES, INC. into the search box.
Customer Identification
Program Disclosure
FinCEN Certification U.S. Treasury Department Financial Crimes Enforcement Network (FinCEN) require financial institutions to collect customer due diligence information to comply with anti-money laundering regulations.
NOTE: To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial organizations to obtain, verify, and record information that identifies each person who opens an account. When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask you to provide a copy of your driver’s license or other identifying documents. The information you provide in this form may be used to perform a credit check and verify your identity by using internal sources and third-party vendors. If additional space is needed, attach a separate sheet.