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Erik R. Setterlind

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CRD#: 4187840
ES

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.

Erik Robert-arno Setterlind, who also goes by Erik R Setterlind, was a registered financial professional .

Erik is a previously registered financial professional and started their career in finance in 2000. Erik had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Erik R Setterlind

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 12, 2014 - February 10, 2022

KALOS CAPITAL, INC.

BD
CRD#: 44337
ALPHARETTA, GA
Past

July 22, 2013 - August 5, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MCDONOUGH, GA
Past

August 4, 2005 - November 15, 2012

YIELDQUEST SECURITIES, LLC

BD
CRD#: 135041
ATLANTA, GA
Past

May 16, 2005 - September 19, 2005

REGISTER FINANCIAL ASSOCIATES, INC.

BD
CRD#: 30568
ATLANTA, GA
Past

April 7, 2004 - April 1, 2005

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

December 20, 2002 - December 1, 2003

WADDELL & REED

RIA
CRD#: 866
DENVER, CO
Past

December 13, 2002 - December 1, 2003

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

August 8, 2000 - December 6, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/11/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/2000
General Securities Representative Examination

Current Firm

KC
KALOS CAPITAL, INC.
KALOS CAPITAL, INC.

CRD#: 44337 / SEC#: , 8-50630

BD
Terminated by SEC on 12/03/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 09/26/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KALOS FINANCIAL, INC.OWNER
WILDERMUTH, CAROL JEANCEO, CFO, CCO1555730

Disclosures

Regulatory Event3
Financial1

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

KALOS CAPITAL, INC.

CRD#: 44337

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