Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Edward Settles has been in the securities industry since May 12, 1997. David is currently registered with State Street Global Advisors Funds Distributors, LLC, and has been registered with this firm since August 14, 2013. David is registered in 52 states for securities, and is not registered with any states for investment advisory services. David is a registered principal with the firm. David has a wide range of experience in the securities industry, having previously worked with firms such as Wellington Management Advisers, Inc, Invesco Services, Inc., NationsBanc Capital Markets, Inc., Bank South Securities Corporation, Lex Jolley & Co., Inc., Wheat, First Securities, Inc., Salomon Brothers Inc., and J. F. Hartfield & Co., Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
MA
08/14/2013 - Present
State Street Global Advisors Funds Distributors, LLC (Boston MA)
MA
08/06/2010 - 01/24/2012
WELLINGTON MANAGEMENT ADVISERS, INC (BOSTON MA)
GA
11/11/1996 - 07/17/2002
INVESCO SERVICES, INC. (ATLANTA GA)
NY
01/16/1996 - 09/09/1996
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
NA
03/05/1993 - 01/16/1996
BANK SOUTH SECURITIES CORPORATION
NA
05/08/1992 - 06/09/1992
LEX JOLLEY & CO., INC.
NC
11/10/1988 - 06/22/1990
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NA
09/09/1985 - 11/04/1987
SALOMON BROTHERS INC.
NA
12/19/1983 - 09/12/1985
J. F. HARTFIELD & CO., INC.
BC
Issued 10/22/2010
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2014
Series 3 - National Commodity Futures Examination
BC
Issued 04/26/2010
Series 7 - General Securities Representative Examination
BC
Issued 12/16/1983
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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