JS
John V. Satterfield
AMUNI FINANCIAL
Little Rock, AR 72207
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CRD#: 1406683
JS
Professional summary
John Vines Satterfield IV is a registered financial advisor currently at AMUNI FINANCIAL, INC. located in Little Rock, Arkansas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 2 firms and has passed the Series 66, Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
CLOUT SERVICES LLC NON-INVESTMENT RELATED 5412 CENTERWOOD ROAD, LITTLE ROCK, AR 72207 PACKAGE DELIVERY CO-OWNER CO-OWNER 06/01/2021 10 HOURS PER MONTH NONE DURING TRADING HOURS OPERATIONS, BOOKEEPING, RECEIVING AND DELIVERY
CRS (Client Relationship Summary) - RIA
Click below to view John Vines Satterfield IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Vines Satterfield IV's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 10, 2018 - Present
AMUNI FINANCIAL, INC.
Office #1: 1501 N University Ave Suite 330, Little Rock, AR 72207RIA
BD
CRD#: 8365
Little Rock, AR
Current
January 14, 1993 - Present
AMUNI FINANCIAL, INC.
Office #1: 1501 N University Ave Suite 330, Little Rock, AR 72207RIA
BD
CRD#: 8365
Little Rock, AR
Past
November 20, 1985 - December 23, 1992
POWELL & SATTERFIELD, INC.
BD
CRD#: 7030
LITTLE ROCK, AR
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AMUNI FINANCIAL, INC.
AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
RIA
Registered Investment Advisory firm - SEC (3/11/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (3/17/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Michigan
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/11/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (3/16/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(1/15/1993)
IAR
Arkansas(12/10/2018)
RR
Connecticut(6/10/1998)
RR
Florida(1/19/1993)
IAR
Florida(3/26/2024)
RR
Georgia(11/8/1996)
RR
Illinois(2/12/1998)
RR
Louisiana(1/13/1998)
RR
Maine(9/10/2025)
RR
Maryland(10/6/2016)
RR
Mississippi(1/4/2016)
RR
Missouri(3/7/1994)
RR
Pennsylvania(5/30/2002)
RR
Tennessee(8/30/1999)
RR
Texas(1/15/1993)
IAR
Texas(8/5/2020)
RR
Virginia(11/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AMUNI FINANCIAL, INC.
AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
RIA
Registered Investment Advisory firm - SEC (3/11/2021 Approved)Arkansas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (3/17/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Michigan
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/11/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (3/16/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (3/15/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
720 Second Ave S., St Petersburg, FL 33701
Mailing Address
P.o. Box 11749, St. Petersburg, FL 33733-9680
Phone number
(727) 825-0522
Established
Florida since 08/18/1980
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
21
SEC notice filing (14 States and Territories)
FINRA licenses (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 274 |
| AUM (Assets Under Management) | $ 159,700,000 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 06/13/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
AMUNI FINANCIAL, INC.
CRD#: 8365Little Rock, AR 72207TRUST BUT VERIFY
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Contact information
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