Barry S. Sattell

Some features on this profile are disabled

CRD#: 3205011

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.

Barry Steven Sattell, who also goes by Barry Sattell, was a registered financial professional .

Barry is a previously registered financial professional and started their career in finance in 1999. Barry had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Barry Sattell

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.

The advisor shows no other business activity.

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

December 10, 2014 - June 29, 2020

BROADVIEW FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 143550

WAUWATOSA, WI

Past

October 9, 2009 - October 23, 2009

HARBOUR INVESTMENTS, INC.

RIA

CRD#: 19258

MENOMONEE FALLS, WI

Past

October 9, 2009 - December 17, 2012

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MENOMONEE FALLS, WI

Past

December 19, 2007 - July 2, 2009

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

MENOMONEE FALLS, WI

Past

November 1, 2007 - March 13, 2008

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

MENOMONEE FALLS, WI

Past

February 19, 2003 - July 25, 2007

SII INVESTMENTS, INC.

CRD#: 2225

MENOMONEE FALLS, WI

Past

June 21, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

June 21, 1999 - March 26, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

BROADVIEW FINANCIAL MANAGEMENT, LLC

BROADVIEW FINANCIAL MANAGEMENT, LLC | SJA FINANCIAL ADVISORY, LLC | SATTELL, JOHNSON, APPEL FINANCIAL ADVISORY, LLC

CRD#: 143550 / SEC#: 801-77625

RIA

Registered Investment Advisory firm - (2/13/2013 Approved)

Wisconsin

Registered Investment Advisory firm - (2/22/2013 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).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/18/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROADVIEW FINANCIAL MANAGEMENT, LLC

BROADVIEW FINANCIAL MANAGEMENT, LLC | SJA FINANCIAL ADVISORY, LLC | SATTELL, JOHNSON, APPEL FINANCIAL ADVISORY, LLC

CRD#: 143550 / SEC#: 801-77625

RIA

Registered Investment Advisory firm - (2/13/2013 Approved)

Wisconsin

Registered Investment Advisory firm - (2/22/2013 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10401 W Innovation Dr Suite 100, Wauwatosa, WI 53226

Mailing Address

Phone number

(414) 390-1492

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROADVIEW ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,273
AUM (Assets Under Management)	$ 623,294,951

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Barry S. Sattell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

SII INVESTMENTS, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

BROADVIEW FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1999

Series 63

Date: 4/27/1999

Series 6

Date: 6/18/1999

Current Firm

BROADVIEW FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADVIEW FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors