Kevin Chase has been Chief Compliance Officer of Sanctuary Advisors since April 2023, is a control person of the firm and directly owns under 5% of it. Kevin Chase holds a Bachelor of Science in Business Administration with a concentration in Finance from Bryant University and a Master’s in Business Administration from Suffolk University.
Sanctuary Advisors, LLC is a Miami, FL firm with $34.9B under management, 19,540 clients and 396 advisers across 84 offices, as of its September 2026 filing.
Kevin Chase is Chief Compliance Officer of Sanctuary Wealth. He is responsible for all compliance and supervision for the Broker Dealer and RIA, and for coordinating resolutions with FINRA, the SEC and state regulators. Chase has over 25 years of experience in compliance supervision at wirehouse and independent wealth management firms, including many years at Merrill Lynch.
Kevin Chase’s longest registration was 5 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2011–2017). Before joining Sanctuary Advisors in 2022, Kevin Chase was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Sanctuary Advisors, LLCCurrent– present · 3 yearsWaxhaw, NC · Adviser representative · Firm CRD 226606
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 5 yearsIndianapolis, IN · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Kevin Chase is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from November 2022; the most recent is Texas, in April 2023.
- North CarolinaSince 17 November 2022
- TexasResidentSince 20 April 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 12 February 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 25 April 1994 |
| Series 5 | Interest Rate Options Examination | 23 February 1993 |
| Series 15 | Foreign Currency Options Examination | 3 February 1993 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 17 September 1990 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 October 1987 |
| Series 7 | General Securities Representative Examination | 15 August 1987 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Interest Rate Options Examination
- Name
- Foreign Currency Options Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kevin P Chase
- CRD
- 1626158
- Firm
- Sanctuary Advisors · CRD 226606
- Role
- Chief Compliance Officer
- Office
- Waxhaw, NC
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1990
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- sanctuarywealth.com
Where does Kevin Chase work?
Kevin Chase has been Chief Compliance Officer of Sanctuary Advisors, LLC since April 2023, and is a control person of the firm.
Is Kevin Chase a financial advisor?
Yes. Kevin Chase has a current investment-adviser registration in North Carolina and Texas, through Sanctuary Advisors since November 2022.
How many years of experience does Kevin Chase have?
Kevin Chase has 36 years in the financial industry, since March 1990, across 2 adviser firms.
What exams has Kevin Chase passed?
Kevin Chase has passed 9 licensing exams: the Series 7, Series 63, Series 8, Series 15, Series 5, Series 65, Series 24, Series 10 and Series 9. The earliest, the Series 7, was passed in August 1987. FINRA credited Kevin Chase with the SIE, which began in October 2018.
Where did Kevin Chase work before Sanctuary Advisors?
Before Sanctuary Advisors, Kevin Chase was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, December 2011 to August 2017.
Where is Kevin Chase based?
Kevin Chase’s registered office is in Waxhaw, NC.
Is Kevin Chase registered with FINRA?
Yes. Kevin Chase has a current broker registration, under CRD 1626158.
Source: FINRA BrokerCheck
How can I verify Kevin Chase’s record?
Search CRD 1626158 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Kevin Chase’s full registration record.