Leslie K. Satterfield
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.
Leslie Kent Satterfield, who also goes by Kent Satterfield, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2000. Leslie had worked at 4 firms and has passed the Series 63, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2004 - December 31, 2016
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
August 12, 2002 - March 1, 2004
CRISP HUGHES EVANS BROKERAGE LLC
April 11, 2001 - October 8, 2004
CRISP HUGHES EVANS FINANCIAL SERVICES
September 18, 2000 - July 15, 2004
CAP PRO BROKERAGE SERVICES, 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
Series 28
Date: 12/15/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
CRD#: 109279 / SEC#: 801-58035
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,168 |
| AUM (Assets Under Management) | $ 2,206,001,630 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2021 |
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.
