Seth A. Cannon

ASSETMARK

Phoenix, AZ 85012

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CRD#: 6571726

Professional summary

Seth A Cannon, who also goes by Seth Austin Cannon, is a registered financial advisor currently at ASSETMARK, INC. located in Phoenix, Arizona.

Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Seth has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Seth Austin 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.

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 10/2024 - 160 HRS / MONTH - PROCESS ANALYST OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMEN RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth A Cannon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 27, 2025 - Present

ASSETMARK, INC.

Office #1: 3200 N Central Ave 8th Floor, Phoenix, AZ 85012

RIA

CRD#: 109018

Phoenix, AZ

Past

April 5, 2023 - September 21, 2023

LUKEN INVESTMENT ANALYTICS, LLC

RIA

CRD#: 169008

BRENTWOOD, TN

Past

April 7, 2022 - November 11, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Scottsdale, AZ

Past

January 14, 2019 - September 9, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

January 3, 2017 - February 12, 2018

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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".

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(3/27/2025)

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 65

Date: 4/4/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/2017

General Securities Representative Examination

Current Firm

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

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Contact information

Main Address

1655 Grant Street 10th Floor, Concord, CA 94520-2445

Mailing Address

Phone number

(800) 664-5345

Established

Firm type

Fiscal year end

# of Employees

735

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSETMARK RETIREMENT DISCLOSURE BROCHURE (11/17/2025)

REFERRAL DISCLOSURE BROCHURE (11/17/2025)

PLATFORM DISCLOSURE BROCHURE (11/17/2025)

BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (11/17/2025)

ASSETMARK, INC. PART 2A (11/17/2025)

EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (3/26/2025)

EFFICIENT EDGE DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	410,749
AUM (Assets Under Management)	$ 77,412,781,198

Accountant 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

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

Seth A. Cannon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth A Cannon's CRS (Customer Relationship Summary).

Certified licenses

Experience

LUKEN INVESTMENT ANALYTICS, LLC

KESTRA INVESTMENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/2023

Series 63

Date: 1/12/2017

SIE

Date: 2/12/2018

Series 7

Date: 1/3/2017

Current Firm

ASSETMARK, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASSETMARK, INC.

TRUST BUT VERIFY

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