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Detailed Report
SCOTT ALLAN SETTELEN
SCOTT A. SETTELEN
CRD#: 1835558
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 380 KNOLLWOOD ST STE 600
WINSTON SALEM, NC 27103
Registration History
19952000200520102015202020252 FIRMS2002 - Present (22 years)BWACHOVIA SECURITIES, INC. (CRD# 431)2000 - 2002 (1 year)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1998 - 2000 (2 years)BNATIONSSECURITIES (CRD# 32542)1993 - 1998 (4 years)IAWACHOVIA SECURITIES, INC. (CRD# 431)2002 - 2002 (<1 year)
License(s)

State Registrations

B
California 3/20/2023
B
North Carolina 6/15/2002
B
Delaware 8/6/2019
IA
North Carolina 6/21/2002
B
Florida 6/15/2002
B
Ohio 7/5/2002
B
Georgia 1/13/2003
B
Pennsylvania 6/15/2002
B
Kentucky 7/19/2022
B
South Carolina 1/9/2003
B
Louisiana 12/8/2022
B
Tennessee 5/24/2023
B
Maine 1/2/2015
B
Texas 2/22/2023
B
Massachusetts 11/23/2020
IA
Texas 2/22/2023
B
Michigan 4/6/2020
B
Utah 3/31/2008
B
Missouri 10/25/2018
B
Virginia 6/15/2002
B
New York 1/2/2020
B
Washington 1/13/2003

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
380 KNOLLWOOD ST STE 600, WINSTON SALEM, NC 27103
Clemmons, NC
Registered with this firm since 6/21/2002
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
380 KNOLLWOOD ST STE 600, WINSTON SALEM, NC 27103
Clemmons, NC
Registered with this firm since 6/15/2002
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/28/2002 - 06/21/2002 WACHOVIA SECURITIES, INC. (CRD#:431) WINSTON SALEM, NC
B
 09/22/2000 - 06/15/2002 WACHOVIA SECURITIES, INC. (CRD#:431) CHARLOTTE, NC
B
 01/01/1998 - 10/03/2000 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
 12/15/1993 - 01/01/1998 NATIONSSECURITIES (CRD#:32542)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.