Satish Mehta
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.
Satish Mehta, who also goes by Sam Mehta, was a registered financial advisor .
Satish is a previously registered financial advisor and started their career in finance in 1994. Satish had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2011 - December 31, 2014
GREAT AMERICAN INVESTORS, INC.
July 1, 2003 - December 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 16, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 17, 1994 - May 18, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 1994 - August 9, 1994
SOUTH RICHMOND SECURITIES, INC.
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
GREAT AMERICAN INVESTORS, INC.
CRD#: 28489 / SEC#: , 8-44380
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
