Stephen H. Satter
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.
Stephen Howard Satter, who also goes by Stephen H Satter, Stephen Satter, Steve Satter, Stephen Howard Satter, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
June 11, 2021 - June 20, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 1, 2021 - June 20, 2024
FIDELITY BROKERAGE SERVICES LLC
May 28, 2019 - April 20, 2021
MORGAN STANLEY
May 28, 2019 - April 20, 2021
MORGAN STANLEY
June 18, 2014 - April 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 2014 - April 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 2002 - May 16, 2014
INVESCO DISTRIBUTORS, INC.
November 16, 2000 - February 26, 2002
FUND MANAGEMENT COMPANY
February 8, 1999 - October 24, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
