Stephen M. Cavanaugh

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CRD#: 4267559

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.

Stephen Mark Cavanaugh, CFP® was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 5 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

1) Cannon Financial Strategists, Inc.; Investment related; 2501 North Rosemont Street, Wichita, KS 67228; Insurance and Fixed Annuity Sales; 1/2022 Senior Compliance Officer ; 150 hrs per month; 8 hrs during trading; Operations. 2) Cannon Securities, Inc.; Investment related; 2501 North Rosemont Street, Wichita, KS 67228; Insurance and Fixed Annuity Sales; 08/19/2019; Registered Representative; 10 hrs per month; 1 hr during trading; Operations. 3) Superflycallie, LLC; Non Investment Relates; 1176 Allegheny Lane; Watkinsville, GA 30677; E-Commerce; Member; 1/15/2022; 2 hrs per month; 0 hrs devoted during trading; Registered Agent/Member

Blog Corner

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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Past

October 2, 2019 - September 23, 2022

CANNON FINANCIAL STRATEGISTS, INC.

RIA

CRD#: 133509

Wichita, KS

Past

September 9, 2019 - September 26, 2022

CANNON SECURITIES, INC.

CRD#: 152287

ATHENS, GA

Past

March 12, 2009 - July 13, 2011

EVERENCE TRUST COMPANY

RIA

CRD#: 113179

SARASOTA, FL

Past

December 16, 2005 - January 6, 2009

EVERENCE TRUST COMPANY

RIA

CRD#: 113179

SARASOTA, FL

Past

April 1, 2005 - June 7, 2019

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

HARRISONBURG, VA

Past

March 22, 2005 - June 7, 2019

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

HARRISONBURG, VA

Past

October 19, 2001 - March 1, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HUNT VALLEY, MD

Past

December 13, 2000 - March 1, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

CANNON FINANCIAL STRATEGISTS, INC.

CRD#: 133509 / SEC#: 801-79869

RIA

Registered Investment Advisory firm - (6/18/2014 Approved)

Georgia

Registered Investment Advisory firm - (6/19/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/21/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/27/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/12/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/18/2022

General Securities Principal Examination

Current Firm

CANNON FINANCIAL STRATEGISTS, INC.

CRD#: 133509 / SEC#: 801-79869

RIA

Registered Investment Advisory firm - (6/18/2014 Approved)

Georgia

Registered Investment Advisory firm - (6/19/2014 Terminated)

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Contact information

Main Address

649-8 South Milledge Ave, Athens, GA 30605

Mailing Address

Phone number

(706) 548-3422

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CANNON FINANCIAL STRATEGISTS - DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,140
AUM (Assets Under Management)	$ 1,433,957,745

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.

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Advisor Monitoring

Firm Stability Insights

Stephen M. Cavanaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CANNON SECURITIES, INC.

EVERENCE TRUST COMPANY

EVERENCE TRUST COMPANY

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CANNON FINANCIAL STRATEGISTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2000

SIE

Date: 10/1/2018

Series 31

Date: 12/27/2000

Series 7

Date: 12/12/2000

Series 24

Date: 4/18/2022

Current Firm

CANNON FINANCIAL STRATEGISTS, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANNON FINANCIAL STRATEGISTS, INC.

TRUST BUT VERIFY

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