James Otley is a registered investment advisor, based in Miami, FL, with 24 years of industry experience.
Location
1450 Brickell Avenue, Suite 2610, Miami, FL, 33131
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Sanctuary Advisors, LLC
April 2019 - Present · 7 yrs 1 mo
Sanctuary Securities, INC.Broker
April 2019 - Present · 7 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2010 - April 2019 · 8 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2010 - April 2019 · 8 yrs 9 mos
UBS Financial Services INC.
January 2002 - August 2010 · 8 yrs 7 mos
UBS Financial Services INC.Broker
October 2001 - August 2010 · 8 yrs 10 mos
State Registrations12 states
COFLGAILINMAMIMONCSCSDWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.