Michael P. Satterfield
Professional summary
Michael Paul Satterfield was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Michael had worked at 3 firms, which includes VOYA FINANCIAL ADVISORS INC., WMA SECURITIES INC., TRANSAMERICA FINANCIAL ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2000 - October 30, 2008
VOYA FINANCIAL ADVISORS, INC.
September 7, 1995 - October 30, 2008
VOYA FINANCIAL ADVISORS, INC.
June 6, 1994 - August 28, 1995
WMA SECURITIES, INC.
July 30, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
