Benjamin N. Satterfield
Professional summary
Benjamin N Satterfield, who also goes by Ben Nathaniel Satterfield, is a registered financial advisor currently at REGATTA CAPITAL GROUP, LLC located in Sandy, Utah.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Benjamin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin N Satterfield's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2020 - Present
REGATTA CAPITAL GROUP, LLC
March 23, 2015 - September 11, 2020
GRIFFIN CAPITAL SECURITIES, LLC
February 13, 2012 - April 7, 2015
CCO CAPITAL, LLC
September 27, 2007 - February 3, 2012
MFS FUND DISTRIBUTORS, INC.
June 7, 2006 - September 18, 2007
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
REGATTA CAPITAL GROUP, LLC
CRD#: 145363 / SEC#: 801-68490
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/30/2022)
Exams
Current Firm
REGATTA CAPITAL GROUP, LLC
CRD#: 145363 / SEC#: 801-68490
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,571 |
| AUM (Assets Under Management) | $ 1,368,559,741 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/01/2024 | ||
| 11/22/2023 | ||
| 04/24/2023 |
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.
