Seth A Cannon
Professional Summary
Seth A Cannon, who also goes by Seth Austin Cannon, was a registered financial advisor. Seth was a previously registered financial professional and started their career in finance 2017 - 2026. Seth had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Seth Austin Cannon
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
9 years in the financial services industry
Current & Past Employments
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Current Firm
ARIS | SAVOS INVESTMENTS | GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. | GENWORTH FINANCIAL ASSET MANAGEMENT, INC. | ASSETMARK, INC. | ASSETMARK INVESTMENT SERVICES, INC. | ASSETMARK INVESTMENT SERVICES INC | ASSETMARK INVESTMENT SERVICES
Contact Information
Main Address
1655 Grant Street 10th Floor, Concord, CA 94520-2445Phone Number
(800) 664-5345# of Employees
859SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
456,453AUM (Assets Under Management)
$91,760,148,020Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | Cover Page | Report |
| 12/19/2024 | Cover Page | Report |
| 08/23/2024 | Cover Page | Report |
| 12/06/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
ARIS | SAVOS INVESTMENTS | GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. | GENWORTH FINANCIAL ASSET MANAGEMENT, INC. | ASSETMARK, INC. | ASSETMARK INVESTMENT SERVICES, INC. | ASSETMARK INVESTMENT SERVICES INC | ASSETMARK INVESTMENT SERVICES
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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