David V. Settanni

SETTANNI FINANCIAL LLC

ARMONK, NY 10504

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CRD#: 5559889

Professional summary

David Vincent Settanni is a registered financial advisor currently at SETTANNI FINANCIAL LLC located in Armonk, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Vincent Settanni'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

October 28, 2020 - Present

SETTANNI FINANCIAL LLC

Office #1: 84 Business Park Drive Suite 302, Armonk, NY 10504

RIA

CRD#: 298989

ARMONK, NY

Past

October 21, 2020 - December 31, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Katonah, NY

Past

May 27, 2014 - December 12, 2018

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

KATONAH, NY

Past

June 4, 2013 - December 12, 2018

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

KATONAH, NY

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".

SETTANNI FINANCIAL LLC

SETTANNI FINANCIAL LLC | SUTTON PLACE INVESTORS LLC

CRD#: 298989 / SEC#: 801-114219

RIA

Registered Investment Advisory firm - (11/1/2018 Approved)

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

Connecticut
(10/28/2020)

IAR

New York
(7/29/2021)

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 66

Date: 6/24/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2013

General Securities Representative Examination

Current Firm

SETTANNI FINANCIAL LLC

SETTANNI FINANCIAL LLC | SUTTON PLACE INVESTORS LLC

CRD#: 298989 / SEC#: 801-114219

RIA

Registered Investment Advisory firm - (11/1/2018 Approved)

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Contact information

Main Address

84 Business Park Drive Suite 302, Armonk, NY 10504

Mailing Address

Phone number

(914) 767-0974

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

SUTTON PLACE DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (2/9/2026)

Regulatory assets under management

Total Number of Accounts	457
AUM (Assets Under Management)	$ 397,030,322

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/08/2025	Cover Page	Report
11/14/2024	Cover Page	Report
09/20/2023	Cover Page	Report

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

David V. Settanni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Vincent Settanni's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

SETTANNI FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/24/2013

SIE

Date: 10/1/2018

Series 7

Date: 6/3/2013

Current Firm

SETTANNI FINANCIAL LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SETTANNI FINANCIAL LLC

TRUST BUT VERIFY

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