Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Settelen is a financial advisor with over 30 years of experience in the industry. He is a CERTIFIED FINANCIAL PLANNER™ professional and is registered to offer investment advice in both North Carolina and Texas. Scott is currently affiliated with Wells Fargo Clearing Services, LLC, and has held previous roles with Wachovia Securities, Inc., Banc of America Investment Services, Inc., and NationsSecurities. He holds a Series 7, Series 63, and Series 65 licenses, as well as the Securities Industry Essentials (SIE) exam. Scott's areas of expertise include financial planning, portfolio management for individuals and businesses, and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
02/22/2023 - Present
Wells Fargo Clearing Services, LLC (WINSTON SALEM NC)
NC
09/22/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
MA
01/01/1998 - 10/03/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NA
12/15/1993 - 01/01/1998
NATIONSSECURITIES
IA
Issued 11/01/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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