Terrence B. Canning
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.
Terrence Brian Canning, who also goes by Terry Brian Canning, was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 1988. Terrence had worked at 4 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2019 - October 20, 2022
PHILLIP CAPITAL INC.
July 15, 2005 - December 2, 2005
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
September 27, 2000 - June 28, 2005
PAX CLEARING CORPORATION
November 4, 1988 - May 29, 1992
FIRST OPTIONS OF CHICAGO, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 7/1/2019
Operations Professional ExaminationCurrent Firm
PHILLIP CAPITAL INC.
CRD#: 173869 / SEC#: , 8-69558
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
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.
