Thomas A. Satterfield

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CRD#: 1631713

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Adger Satterfield JR was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

PRESIDENT AND OWNER OF TOMSAT INVESTMENT & TRADING CO. INC., WHICH INVESTS FAMILY ASSETS. THE ADDRESS OF THIS BUSINESS IS 2609 CALDWELL MILL LANE, BIRMINGHAM, AL 35243. MANAGING PARTNER OF JEANETTE PARKER HEIRS PARTNERSHIP. THE ADDRESS OF THIS BUSINESS IS 2609 CALDWELL MILL LANE, BIRMINGHAM, AL 35243. I GENERALLY WORK 60 HOURS PER WEEK. BASED ON A PRO-RATA ALLOCATION, I DEVOTE APPROXIMATELY 198 HOURS PER MONTH TO TOMSAT INVESTMENT & TRADING CO., INC., 4 HOURS PER WEEK TO JEANETTE PARKER HEIRS PARTNERSHIP, AND THE REMAINDER TO CM MANAGEMENT, LLC.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 28, 2012 - March 23, 2022

CM MANAGEMENT, LLC

RIA

CRD#: 162198

GULF BREEZE, FL

Past

August 11, 1989 - May 21, 1993

SMETEK, VAN HORN AND CORMACK, INC.

CRD#: 10698

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/14/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

Current Firm

CM MANAGEMENT, LLC

CRD#: 162198 / SEC#: 802-120887

Alabama

Registered Investment Advisory firm - (3/23/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Gulf Breeze, FL

Mailing Address

Phone number

(205) 298-0371

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	3/23/2021

Red Flags

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Thomas A. Satterfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CM MANAGEMENT, LLC

SMETEK, VAN HORN AND CORMACK, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/14/1987

Series 7

Date: 3/21/1987

Current Firm

CM MANAGEMENT, LLC

Contact information

Documents

Exempt reporting advisers

Red Flags

Company Information

CM MANAGEMENT, LLC

TRUST BUT VERIFY

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