DS
David E. Settles
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
Boston, MA 02114
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CRD#: 1202148
DS
Professional summary
David Edward Settles is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
David is registered as a RR (Registered Representative) and started their career in finance in 1983. David has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 52 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view David Edward Settles's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 14, 2013 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
Boston, MA
Past
August 6, 2010 - January 24, 2012
WELLINGTON FUNDS DISTRIBUTORS INC.
BD
CRD#: 152768
BOSTON, MA
Past
November 11, 1996 - July 17, 2002
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
January 16, 1996 - September 9, 1996
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
March 5, 1993 - January 16, 1996
BANK SOUTH SECURITIES CORPORATION
BD
CRD#: 27268
Past
May 8, 1992 - June 9, 1992
BANK SOUTH SECURITIES CORPORATION
BD
CRD#: 27268
Past
November 10, 1988 - June 22, 1990
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
September 9, 1985 - November 4, 1987
SALOMON BROTHERS INC.
BD
CRD#: 740
Past
December 19, 1983 - September 12, 1985
HARTFIELD, TITUS & DONNELLY, LLC
BD
CRD#: 7117
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/16/2013)
RR
Alaska(5/19/2022)
RR
Arizona(5/19/2022)
RR
Arkansas(8/19/2013)
RR
California(5/19/2022)
RR
Colorado(5/19/2022)
RR
Connecticut(5/19/2022)
RR
Delaware(5/19/2022)
RR
District of Columbia(5/19/2022)
RR
Florida(8/16/2013)
RR
Georgia(8/15/2013)
RR
Hawaii(5/19/2022)
RR
Idaho(5/19/2022)
RR
Illinois(5/19/2022)
RR
Indiana(5/19/2022)
RR
Iowa(5/19/2022)
RR
Kansas(5/19/2022)
RR
Kentucky(8/15/2013)
RR
Louisiana(8/15/2013)
RR
Maine(5/19/2022)
RR
Maryland(5/19/2022)
RR
Massachusetts(8/16/2013)
RR
Michigan(5/19/2022)
RR
Minnesota(5/19/2022)
RR
Mississippi(8/20/2013)
RR
Missouri(5/19/2022)
RR
Montana(5/23/2022)
RR
Nebraska(5/19/2022)
RR
Nevada(5/19/2022)
RR
New Hampshire(5/19/2022)
RR
New Jersey(5/19/2022)
RR
New Mexico(5/19/2022)
RR
New York(8/15/2013)
RR
North Carolina(8/23/2013)
RR
North Dakota(5/19/2022)
RR
Ohio(5/20/2022)
RR
Oklahoma(8/16/2013)
RR
Oregon(5/19/2022)
RR
Pennsylvania(5/19/2022)
RR
Puerto Rico(5/19/2022)
RR
Rhode Island(5/19/2022)
RR
South Carolina(8/16/2013)
RR
South Dakota(5/19/2022)
RR
Tennessee(8/15/2013)
RR
Texas(8/29/2013)
RR
Utah(5/19/2022)
RR
Vermont(5/19/2022)
RR
Virginia(8/15/2013)
RR
Washington(5/19/2022)
RR
West Virginia(9/3/2013)
RR
Wisconsin(5/19/2022)
RR
Wyoming(5/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
Company Information
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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