Scott V. Kaup
PROSPERITY CAPITAL ADVISORS
Stuart, NE 68780
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CRD#: 1002907
Professional summary
Scott Vincent Kaup, CFP® is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Stuart, Nebraska.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Scott has worked at 10 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 6 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) DBA KAUP'S FINANCIAL ADVISORS, INC.; INVESTMENT RELATED; 113 N MAIN, STUART NE 68780; DBA FOR INSURANCE SALES; OWNER; BEGAN JANUARY 1985; 2 HOURS PER MONTH INCLUDING DURING TRADING; SELLS HEALTH/DISABILTY, FIXED-TRADITIONAL, FIXED ANNUITIES, PROPERTY/CASUALTY, AND LTC INSURANCE. (2) DBA KAUP'S FINANCIAL ADVISORS, INC.; INVESTMENT RELATED; 113 N MAIN, STUART NE 68780; DBA NAME; BEGAN JANUARY 1985; APX 160 HOURS/MONTH ALL DURING TRADING; NAME OF DBA FOR ADVISORY BUSINESS (3) KAUP'S FINANCIAL ADVISORS, INC; NOT INVESTMENT RELATED; 113 N MAIN ST STUART, NE 68780; TAX PREPARATION AND ACCOUNTING; OWNER; BEGAN JANAURY 1985; 20 HOURS PER MONTH INCLUDING DURING TRADING; TAX RETURNS AND CLIENT ACCOUNTING. MR. KAUP ALSO OWNS KAUP'S TAX ADVISORS P.C. BUT DOES NOT CURRENTLY MARKET UNDER THIS NAME. (4) STUART/ATKINSON AIRPORT AUTHORITY; NOT INVESTMENT RELATED; HWY 20, ATKINSON, NE 68713; GOVERNMENT ENTITY; TREASURER; 01/01/2010; 1 HOUR SPENT PER MONTH; 0 HOURS SPENT DURING TRADING HOURS; MONTHLY ACCOUNTING AND REPORT IT AT MEETINGS. ONE OF THREE SIGNERS ON THE CHECKS TO PAY BILLS. (5) MR. KAUP IS TREASURER FOR THE SAND DOLLAR ROAD DISTRICT #2 IN LAKE ANDES SOUTH DAKOTA. MR. KAUP SPENDS LESS THAN AN HOUR PER MONTH ON THIS ACTIVITY DURING NON-TRADING HOURS. THIS IS NOT AN INVESTMENT RELATED ACTIVITY. (6) Mr. Kaup is the Owner of Kaup's Insurance and Investments, Inc. which is a management and holding company for their tax, insurance and advisory business. This entity handles the day to day operations of their business. Mr. Kaup spends approximately 10 hours per week on this activity during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Vincent Kaup'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®
CFP®
Start date: 1989
Experience
Current
July 19, 2024 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 113 N. Main St, Po Box 265, Stuart, NE 68780RIA
CRD#: 156480
Stuart, NE
Past
June 29, 2023 - July 22, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
STUART, NE
Past
March 22, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
STUART, NE
Past
September 20, 2019 - July 22, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
STUART, NE
Past
September 1, 2016 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
STUART, NE
Past
September 1, 2016 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
STUART, NE
Past
February 20, 2003 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
STUART, NE
Past
September 4, 1998 - February 11, 2003
THE MASTERS, INC.
RIA
CRD#: 108432
OVERLAND PK, KS
Past
November 13, 1989 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
STUART, NE
Past
October 11, 1989 - November 2, 1989
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
Past
January 20, 1987 - October 23, 1989
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
April 16, 1985 - January 21, 1987
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
Past
October 8, 1984 - April 26, 1985
WZW FINANCIAL SERVICES, INC.
BD
CRD#: 5717
Past
August 27, 1981 - October 16, 1984
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 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
California(11/13/2024)
IAR
Iowa(7/24/2024)
IAR
Nebraska(7/29/2024)
IAR
South Dakota(7/30/2024)
IAR
Texas(7/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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Company Information
PROSPERITY CAPITAL ADVISORS
CRD#: 156480Stuart, NE 68780TRUST BUT VERIFY
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