William S. Settle
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Sydnor Settle, who also goes by Bill Sydnor Settle Jr, William Sydnor Settle Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 6 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2015 - December 31, 2015
BRUNSWICK CAPITAL ADVISORS LLC
June 2, 2004 - February 17, 2009
CHARLES SCHWAB & CO., INC.
February 25, 2002 - April 8, 2004
CHARLES SCHWAB & CO., INC.
June 20, 2000 - February 1, 2002
UBS CAPITAL MARKETS L.P.
March 2, 1999 - June 6, 2000
RUMSON CAPITAL, LLC
February 19, 1998 - October 19, 1998
MORGAN STANLEY DW INC.
August 31, 1995 - April 6, 1998
HENNION & WALSH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 2/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
BRUNSWICK CAPITAL ADVISORS LLC
CRD#: 173066 / SEC#:
Contact information
Red Flags
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