Charles T. 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.
Charles Thomas Canning, CFP®, who also goes by Charles T Canning, Chuck Canning, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
January 30, 2020 - February 14, 2022
PRUCO SECURITIES, LLC.
January 28, 2020 - February 14, 2022
PRUCO SECURITIES, LLC.
March 23, 2015 - February 14, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 27, 2015 - February 14, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 16, 2012 - February 12, 2015
VALIC FINANCIAL ADVISORS, INC.
October 2, 2012 - February 12, 2015
VALIC FINANCIAL ADVISORS, INC.
January 15, 2009 - September 28, 2012
USAA FINANCIAL PLANNING SERVICES
August 31, 2007 - September 28, 2012
USAA FINANCIAL ADVISORS, INC.
April 17, 2007 - December 31, 2008
USAA INVESTMENT SERVICES COMPANY
April 9, 2007 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
February 2, 2006 - March 27, 2007
ALLSTATE FINANCIAL SERVICES, LLC
February 22, 2001 - April 2, 2004
STATE FARM VP MANAGEMENT CORP.
May 22, 2000 - January 22, 2001
DONAHUE SECURITIES, INC.
April 3, 2000 - May 17, 2000
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 1, 1996 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 15, 1995 - August 2, 1996
OSAIC WEALTH, INC.
March 22, 1988 - December 15, 1989
FSC SECURITIES CORPORATION
July 24, 1986 - July 20, 1987
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 24, 1986 - August 11, 1987
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 24, 1986 - August 11, 1987
OSAIC FA, INC.
April 23, 1985 - May 9, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
Current Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
