HC
Hugh M. Cannon
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CRD#: 1159088
HC
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.
Hugh Michau Cannon, CFP®, who also goes by Hugh Michael Cannon, was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1983. Hugh had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 53, Series 24 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Hugh Michael Cannon
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
January 6, 2020 - December 31, 2025
PROSPERITY WEALTH MANAGEMENT, INC.
RIA
CRD#: 174328
SAN RAMON, CA
Past
October 2, 2019 - December 31, 2019
PROSPERITY WEALTH MANAGEMENT, INC.
RIA
CRD#: 174328
Ventura, CA
Past
September 24, 2015 - October 4, 2019
FIRST HEARTLAND CONSULTANTS, INC.
RIA
CRD#: 110377
VENTURA, CA
Past
September 17, 2015 - October 4, 2019
FIRST HEARTLAND CAPITAL, INC.
BD
CRD#: 32460
VENTURA, CA
Past
June 30, 2014 - September 23, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
ST LOUIS, MO
Past
June 30, 2014 - September 23, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
ST. LOUIS, MO
Past
June 3, 2008 - July 3, 2014
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
June 3, 2008 - July 3, 2014
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
ST. LOUIS, MO
Past
September 17, 1998 - June 3, 2008
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ST. LOUIS, MO
Past
January 26, 1998 - June 3, 2008
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ST. LOUIS, MO
Past
January 3, 1995 - December 31, 1997
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
March 20, 1992 - March 25, 1992
POWELL & SATTERFIELD, INC.
BD
CRD#: 7030
LITTLE ROCK, AR
Past
June 20, 1988 - January 19, 1993
INTEGRATED EQUITIES,INC.
BD
CRD#: 15187
ST. LOUIS, MO
Past
August 28, 1986 - April 28, 1987
REAL SECURITIES, LTD.
BD
CRD#: 10593
Past
July 12, 1983 - November 30, 1984
ANGELES SECURITIES CORPORATION
BD
CRD#: 8083
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PW
PROSPERITY WEALTH MANAGEMENT, INC.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
CRD#: 174328 / SEC#: 801-101485
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (8/14/2015 Terminated)Georgia
Registered Investment Advisory firm - (7/27/2015 Terminated)Illinois
Registered Investment Advisory firm - (7/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (7/15/2015 Terminated)North Carolina
Registered Investment Advisory firm - (7/15/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/16/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
PW
PROSPERITY WEALTH MANAGEMENT, INC.
21ST CENTURY WEALTH & INSURANCE SERVICES | WURZ FINANCIAL SERVICES | WISE WEALTH ASSET MANAGEMENT | TIMES FINANCIAL PLANNERS | THE ONE HOUR TAX MANAGER | THE O'BRIEN GROUP | SYMMETRY WEALTH MANAGEMENT | STEWART FINANCIAL SERVICES | SNYDER WEALTH ADVISORS, LLC | SINCLAIR FINANCIAL SOLUTIONS | SINCLAIR FINANCIAL SERVICES | RETIREMENT SOLUTIONS | RETIREMENT INCOME ADVISORS, LLC | PULLEY INSURANCE & FINANCIAL SERVICES | PROSPERITY WEALTH MANAGEMENT, INC. | PIVOTAL FINANCIAL | MEO WEALTH MANAGEMENT | MCMILLION FINANCIAL GROUP LLC | MC2 WEALTH PLANNING, LLC | MARK YOUNG AND ASSOCIATES | MARK YOUNG & ASSOCIATES | LIND FINANCIAL SERVICES | LIFE-WORK PLANNING CORPORATION | LIFE GOALS FINANCIAL | JOELLE GROUP | INTERSTATE FINANCIAL SERVICES, INC. | INTEGRITY FINANCIAL | HUB INT'L | HIGHLAND CAPITAL FINANCIAL CONSULTING LLC | HECKER ADVISORY GROUP, INC. | GRUCCI AND ASSOCIATES, INC. | GRUCCI & ASSOCIATES | GOLDEN TRIANGLE FINANCIAL SERVICES | FORTUNE FINANCIAL SERVICES | FLORES FINANCIAL | FINANCIAL VISIONS GROUP | FINANCIAL VISION GROUP | EZZY FINANCIAL SERVICES, LLC | ETHEREDGE INSURANCE, LLC | DIVERSIFIED WEALTH MANAGEMENT, INC. | DIGNITY TAX SERVICES | CHANGING TIMES FINANCIAL PLANNERS | CAPITAL COMPANIES | C.M. CARRILLO FINANCIAL ADVISING | BUCKEYE TAX AND FINANCIAL SERVICES, INC. | BUCKET LIST PLANNING | ADVANCED FINANCIAL PARTNERS | ABRAMOVITZ WEALTH MANAGEMENT | 417 INSURANCE & INVESTMENTS
CRD#: 174328 / SEC#: 801-101485
RIA
Registered Investment Advisory firm - (7/14/2015 Approved)California
Registered Investment Advisory firm - (8/14/2015 Terminated)Georgia
Registered Investment Advisory firm - (7/27/2015 Terminated)Illinois
Registered Investment Advisory firm - (7/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (7/15/2015 Terminated)North Carolina
Registered Investment Advisory firm - (7/15/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/16/2015 Terminated)PREMIUM
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Contact information
Main Address
2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583
Mailing Address
Phone number
(925) 791-4444
Established
Firm type
Fiscal year end
# of Employees
51
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,832 |
| AUM (Assets Under Management) | $ 442,192,443 |
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.
