Caner Semen
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.
Caner Semen was a registered financial professional .
Caner is a previously registered financial professional and started their career in finance in 2012. Caner had worked at 4 firms and has passed the Series 66, Series 7TO, 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
March 10, 2016 - May 27, 2021
PGIM INVESTMENTS LLC
December 1, 2015 - May 27, 2021
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 19, 2014 - November 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2014 - November 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2012 - September 11, 2012
BGC FINANCIAL, L.P.
Primary Firm SEC Registration
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
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 7TO
Date: 3/27/2024
General Securities Representative ExaminationCurrent Firm
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 322,085,635,448 |
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.
