Sarah B. Cannon
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.
Sarah Brady Cannon, who also goes by Sarah J Brady, Sarah B Cannon, Sarah J Nolting, Sarah J Rickett, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 1994. Sarah had worked at 7 firms and has passed the Series 65, Series 63, 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
September 22, 2010 - September 10, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 22, 2010 - September 10, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 23, 2002 - September 22, 2010
LPL FINANCIAL LLC
July 23, 2002 - September 22, 2010
LPL FINANCIAL LLC
October 27, 1998 - July 29, 2002
IRWIN UNION SECURITIES
June 2, 1998 - September 29, 1998
NATCITY INVESTMENTS, INC.
January 24, 1996 - September 30, 1998
NATCITY INSURANCE SERVICES, INC.
June 1, 1994 - January 11, 1996
CUNA BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
