DS
David V. Settanni
SETTANNI FINANCIAL LLC
ARMONK, NY 10504
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CRD#: 5559889
DS
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.
1)SUTTON PLACE INVESTORS LLC d/b/a SETTANNI FINANCIAL. INVESTMENT RELATED. 6 SUTTON PLACE, KATONAH, NY 10536. RIA BUSINESS. CCO & CFO. STARTED 11/2018. 150 HRS/MO DEVOTED - 120 DURING TRADING. DUTIES ARE COMPLIANCE DUTIES OF FIRM, ALSO RESPONSIBLE FOR TRADING AND INVESTMENT RECOMMENDATIONS FOR CLIENTS. 2)DAVID SETTANNI. NOT INVESTMENT RELATED. 78 WEAVER ST, GREENWICH CT 06831. LIFE INSURANCE SALES BUSINESS. SOLE PROPRIETOR. STARTED 06/2008. 1 HR/MO DEVOTED - 0 DURING TRADING. DUTIES ARE SELLING AND RECOMMENDING LIFE INSURANCE AND FIXED ANNUITIES. 3)DON SETTANNI, CPA PLLC. NOT INVESTMENT RELATED. 6 SUTTON PLACE, KATONAH, NY 10536. TAX PREP AND FILING. TITLE IS TAX PREPARER. STARTED 11/2011. 2 HRS/MO DEVOTED - 0 DURING TRADING. DUTIES ARE TO PREPARE AND FILE TAXES FOR INDIVIDUALS AND FAMILIES. 4) Greenwich Fire Department. Not Investment Related. 15 Havermeyer Place, Greenwich CT 06830. Fire Department. Volunteer Firefighter. Start 11/2021. 10 hours per month, 2 during trading hours. Arrive on scene for fire call and secure the perimeter, direct traffic. 5) Special Kids of NY. Not Investment Related. 6 Sutton Place, Katonah NY. Not for Profit. Board Member. Start 1/2010. 1 hour per month not during trading. Organize annual fundraiser, also involved in fundraising. 6) TRUSTEE for the following - 1. Chirico Family 2015 Irrev Trust. 2. Nicolette Chirico Irrev Trust. 3. Isabella Chirico Irrev Trust. 4. Emanuel Chirico Irrev Trust. 5. Emanuel Chirico Irrev Trust FBO Michael Chirico. 6. Emanuel Chirico Irrev Trust FBO Dominic Chirico. 7. Emanuel Chirico Irrev Trust FBO Vincent Chirico. LOCATED 6 Sutton Place, Katonah NY. START 12/2020. Re-balancing portfolios by speaking with grantors and beneficiaries about investment and planning. 7) DVS Capital Partners GP, LLC and DVS Capital Management, LLC; Inv-related: Yes; Located at 67 Holly Hill Lane, Suite 202DS, Greenwich, CT06830; General Partner and Investment Manager for an affiliated private fund offering; Owner and Principal; Starting 04/2024; Approximately 20 hours per month; Management of investments in the fund.
CRS (Client Relationship Summary) - RIA
Click below to view David Vincent Settanni'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
October 28, 2020 - Present
SETTANNI FINANCIAL LLC
Office #1: 84 Business Park Drive Suite 302, Armonk, NY 10504RIA
CRD#: 298989
ARMONK, NY
Past
October 21, 2020 - December 31, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
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
BD
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".
SF
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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SF
SETTANNI FINANCIAL LLC
SETTANNI FINANCIAL LLC | SUTTON PLACE INVESTORS LLC
CRD#: 298989 / SEC#: 801-114219
RIA
Registered Investment Advisory firm - (11/1/2018 Approved)Upgrade to AdvisorCheck Premium
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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
5
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 417 |
| AUM (Assets Under Management) | $ 336,786,863 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 09/20/2023 | ||
| 07/29/2022 |
Red Flags
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