Steven Setchfield has been Owner/Chief Compliance Officer of Setchfield Associates since January 1998, is a control person of the firm and directly owns between 50% and 75% of it.
Setchfield Associates LLC is a Bradenton, FL firm with $193M under management, 250 clients and 1 adviser across 2 offices, as of its February 2026 filing.
Steve Setchfield is Chief Investment Strategist of Setchfield Asset Management. Before owning an investment advisory service, he spent seven years at Shearson Lehman Brothers and Kemper Securities. Setchfield Associates was formed in 1996 as a registered investment advisor.
Steven Setchfield’s longest registration is the current one, 27 years at Setchfield Associates since 1999. Before joining Setchfield Associates in 2017, Steven Setchfield was registered through First Allied Advisory Services, Inc. and First Allied Securities, Inc.
- First Allied Advisory Services, Inc.– · 6 yearsCentennial, CO · Adviser representative · Firm CRD 137888
- First Allied Securities, Inc.– · 5 yearsCentennial, CO · Adviser representative · Firm CRD 32444
- Setchfield Asset ManagementCurrent– present · 27 yearsBradenton, FL · Adviser representative · Firm CRD 113289
Investment adviser representative registrations
Steven Setchfield is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from January 2017; the most recent is Florida, in April 2021.
- ColoradoSince 25 January 2017
- FloridaSince 14 April 2021
- TexasResidentSince 1 June 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 31 January 2000 |
| Series 4 | Registered Options Principal Examination | 20 January 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 12 February 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 September 1992 |
| Series 7 | General Securities Representative Examination | 3 September 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Terry Setchfield
- CRD
- 2270971
- Firm
- Setchfield Associates · CRD 113289
- Role
- Owner/Chief Compliance Officer
- Office
- 392 ARUBA CIRCLE, UNIT 101, Bradenton, FL 34209
- Registration
- Investment adviser registration
- In the industry since
- September 1992
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- setchfieldassetmanagement.com
Where does Steven Setchfield work?
Steven Setchfield has been Owner/Chief Compliance Officer of Setchfield Associates LLC since January 1998, and is a control person of the firm.
Is Steven Setchfield a financial advisor?
Yes. Steven Setchfield has a current investment-adviser registration in Colorado, Florida and Texas, through Setchfield Associates since January 2017.
How many years of experience does Steven Setchfield have?
Steven Setchfield has 34 years in the financial industry, since September 1992, across 3 adviser firms.
What exams has Steven Setchfield passed?
Steven Setchfield has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 4 and Series 24. The earliest, the Series 7, was passed in September 1992. FINRA credited Steven Setchfield with the SIE, which began in October 2018.
Where did Steven Setchfield work before Setchfield Associates?
Before Setchfield Associates, Steven Setchfield was registered through First Allied Securities, Inc., July 2006 to July 2012; Setchfield Associates, February 1999 to December 2003.
Where is Steven Setchfield based?
Steven Setchfield’s registered office is in Bradenton, FL.
Is Steven Setchfield registered with FINRA?
No. Steven Setchfield has no current broker registration.
How can I verify Steven Setchfield’s record?
Search CRD 2270971 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Setchfield’s full registration record.