Charles M. Semian
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 Michael Semian was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 1999 - December 31, 2006
WORLD CAPITAL BROKERAGE, INC.
July 15, 1997 - November 2, 1999
ALLEGHENY INVESTMENTS, LTD.
August 1, 1990 - June 9, 1997
ARAGON FINANCIAL SERVICES, INC.
July 15, 1981 - May 4, 1990
ADVANTAGE CAPITAL CORPORATION
March 6, 1981 - November 15, 1981
GENERAL AMERICAN LIFE INSURANCE COMPANY
November 15, 1979 - May 1, 1981
CORNERSTONE FINANCIAL SERVICES, INC.
February 16, 1970 - January 20, 1980
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 1
Date: 2/7/1970
Registered Representative ExaminationCurrent Firm
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
