SC
Samuel B. Cannon
CETERA INVESTMENT ADVISERS LLC
Campbell, CA 95008
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CRD#: 6778543
SC
Professional summary
Samuel Benjamin Cannon, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Campbell, California and CETERA WEALTH SERVICES, LLC located in Campbell, California.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Samuel has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) JY WEALTHCARE, LLC POSITION: Financial Advisor NATURE: Financial Advisor: Meet with clients to determine financial objectives, risk tolerance, income and expense needs. Assist clients with financial planning needs, investment management and selection. INVESTMENT RELATED: No NUMBER OF HOURS: 168 SECURITIES TRADING HOURS: 130 START DATE: 10/01/2020; ADDRESS: 42 West Campbell Ave, Third Floor, Campbell CA 95008, United States; DESCRIPTION: Regularly meet with clients to determine financial objectives, risk tolerance, income and expense needs. Assist clients with financial planning needs, investment management and selection. 2) JOHANSON & YAU POSITION: Financial Advisor NATURE: Johanson & Yau is the accounting firm that with a division for wealth management. I provide Financial Advisor services to JY clients. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 10/01/2019 ADDRESS: 42 West Campbell Ave, Third Floor, Campbell CA 95008, United States DESCRIPTION: I provide Financial Services to our clients - Financial Plans, Investment Management, Retirement Planning, education planning, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Benjamin Cannon's 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®
Experience
Current
July 23, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 42 West Campbell Ave Third Floor, Campbell, CA 95008RIA
CRD#: 105644
Campbell, CA
Current
July 23, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 42 West Campbell Ave Third Floor, Campbell, CA 95008Office #2: 42 West Campbell Ave Third Floor, Campbell, CA 95008BD
CRD#: 13572
CAMPBELL, CA
Past
October 25, 2019 - September 8, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CAMPBELL, CA
Past
October 25, 2019 - September 8, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CAMPBELL, CA
Past
September 18, 2019 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
SAN JOSE, CA
Past
September 17, 2019 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SAN JOSE, CA
Past
July 25, 2018 - September 10, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
LOS GATOS, CA
Past
June 7, 2017 - September 9, 2019
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
LOS GATOS, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/23/2025)
IAR
California(7/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
