Charles Canning, financial advisor Fargo ND
81 score

Charles Canning

CRD Number: 1332982
Current Firm: Advice And Planning Services

Charles Canning (CRD# 1332982) is an Investment Advisor Representative working at Advice And Planning Services in Fargo, ND and has over 21 years of experience in the finance industry.

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Company Name Location Dates Years
Tiaa Fargo, ND Feb 2015 - Current 1
Tiaa-cref Individual & Institutional Services, LLC Fargo, ND Feb 2015 - Current 1
Valic Financial Advisors Edina, MN Oct 2012 - Feb 2015 2
Usaa Financial Planning Services Phoenix, AZ Nov 2008 - Sep 2012 3
Usaa Financial Advisors, Inc. Phoenix, AZ Aug 2007 - Sep 2012 5
Usaa Investment Management Co Phoenix, AZ Mar 2007 - Dec 2008 1
Usaa Life Insurance Company Phoenix, AZ Aug 2007 - Nov 2008 1
Allstate Insurance Co Chandler, AZ Jan 2006 - Mar 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1995
S65 NASAA Investment Advisors Law Examination Mar 2015
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Charles T. Canning
Phone Number: 212-490-9000
Firm Website: http://www.tiaa.org
Registered State(s):
  • ND
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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