Steven T. Setchfield

SETCHFIELD ASSET MANAGEMENT

BRADENTON, FL 34209

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CRD#: 2270971

Professional summary

Steven Terry Setchfield is a registered financial advisor currently at SETCHFIELD ASSET MANAGEMENT located in Bradenton, Florida.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Steven has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. SETCHFIELD ASSET MANAGEMENT; ADVISOR; RIA; START DATE: 07/03/2004; 160 HOURS PER MONTH 2. SETCHFIELD ASSOCIATES LLC; DIRECTORE; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE: 08/18/2017; 4 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Terry Setchfield's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 25, 2017 - Present

SETCHFIELD ASSET MANAGEMENT

Office #1: 392 Aruba Circle Unit 101, Bradenton, FL 34209

RIA

CRD#: 113289

BRADENTON, FL

Past

July 2, 2012 - September 28, 2018

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

CENTENNIAL, CO

Past

July 7, 2006 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

CENTENNIAL, CO

Past

September 28, 2000 - September 28, 2018

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

CENTENNIAL, CO

Past

February 3, 1999 - December 31, 2003

SETCHFIELD ASSET MANAGEMENT

RIA

CRD#: 113289

BRADENTON, FL

Past

February 3, 1999 - December 31, 2016

SETCHFIELD ASSET MANAGEMENT

RIA

CRD#: 113289

BRADENTON, FL

Past

August 26, 1996 - October 25, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

September 9, 1994 - October 14, 1996

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 8, 1992 - September 12, 1994

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SETCHFIELD ASSET MANAGEMENT

SETCHFIELD ASSET MANAGEMENT | SETCHFIELD ASSOCIATES LLC | SETCHFIELD ASSOCIATES

CRD#: 113289 / SEC#: 801-116770

RIA

Registered Investment Advisory firm - (6/10/2019 Approved)

Colorado

Registered Investment Advisory firm - (7/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/28/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/25/2017)

IAR

Florida
(4/14/2021)

IAR

Texas
(6/1/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/12/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/3/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/20/2000

Registered Options Principal Examination

Current Firm

SETCHFIELD ASSET MANAGEMENT

SETCHFIELD ASSET MANAGEMENT | SETCHFIELD ASSOCIATES LLC | SETCHFIELD ASSOCIATES

CRD#: 113289 / SEC#: 801-116770

RIA

Registered Investment Advisory firm - (6/10/2019 Approved)

Colorado

Registered Investment Advisory firm - (7/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/28/2019 Terminated)

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Contact information

Main Address

392 Aruba Circle Unit 101, Bradenton, FL 34209

Mailing Address

Phone number

(303) 627-1099

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SETCHFIELD ADV 2A STEVEN SETCHFIELD 2B (2/24/2025)

Regulatory assets under management

Total Number of Accounts	225
AUM (Assets Under Management)	$ 171,000,000

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.

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Firm Stability Insights

Steven T. Setchfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Terry Setchfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

SETCHFIELD ASSET MANAGEMENT

SETCHFIELD ASSET MANAGEMENT

D.E. FREY & COMPANY, INC.

WELLS FARGO CLEARING SERVICES, LLC

AMERICAN FRONTEER FINANCIAL CORPORATION

Primary Firm SEC Registration

SETCHFIELD ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/12/1997

Series 63

Date: 9/4/1992

SIE

Date: 9/28/2018

Series 7

Date: 9/3/1992

Series 24

Date: 1/31/2000

Series 4

Date: 1/20/2000

Current Firm

SETCHFIELD ASSET MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SETCHFIELD ASSET MANAGEMENT

TRUST BUT VERIFY

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