KA
Kelly E. Adams
AVANTAX PLANNING PARTNERS
Somerset, KY 42503
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CRD#: 4372012
KA
Professional summary
Kelly E Adams, who also goes by Kelly Caudill Adams, Kelly Adams, Kelly Elizabeth Caudill, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Somerset, Kentucky and CETERA INVESTMENT ADVISERS LLC located in Somerset, Kentucky.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kelly has worked at 10 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelly Caudill Adams | Kelly Adams | Kelly Elizabeth Caudill
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) HONKAMP KREUGER FINANCIAL SERVICES (HKFS); Investment Related; 2650 Eastpoint Pkwy, Ste 100, Louisville, KY 40223; Investments; Financial Professional; Start Date 11/2016; 160 hours per month with all 160 hours per month occurring during trading hours; Meet with clients regarding investment services. 2)SAM INVESTMENT GROUP, LLC POSITION: LLC Member NATURE: LLC member of SAM Investment Group, which holds shares of the privately held company Curiteva INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 25127 Will McComb Dr., Tanner AL 35671, United States DESCRIPTION: no duties
CRS (Client Relationship Summary) - RIA
Click below to view Kelly E Adams'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®
NoneExperience
Current
November 23, 2016 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 116 Tradepark Drive, Somerset, KY 42503Office #3: 917 Lily Creek Suite 2a, Louisville, KY 40223RIA
CRD#: 106237
Somerset, KY
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 116 Tradepark Drive, Somerset, KY 42503Office #2: 917 Lily Creek, Louisville, KY 40223RIA
CRD#: 105644
SOMERSET, KY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 917 Lily Creek Suite 2a, Louisville, KY 40223Office #2: 116 Tradepark Dr, Somerset, KY 42503BD
CRD#: 13572
Louisville, KY
Past
March 29, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Louisville, KY
Past
September 30, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SOMERSET, KY
Past
March 17, 2017 - September 30, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
LOUISVILLE, KY
Past
March 21, 2007 - December 23, 2016
CSSC BROKERAGE SERVICES, INC.
BD
CRD#: 141630
LOUISVILLE, KY
Past
January 29, 2002 - December 23, 2016
TRUSTEE EMPOWERMENT & PROTECTION, INC.
RIA
CRD#: 108249
PROSPECT, KY
Past
August 31, 2001 - March 21, 2007
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
LOUISVILLE, KY
Past
August 13, 2001 - August 31, 2001
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
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
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
IAR
Kentucky(11/23/2016)
RR
Kentucky(9/5/2025)
RR
Maine(9/18/2025)
RR
Massachusetts(9/5/2025)
RR
Missouri(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/18/2025)
RR
Ohio(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
IAR
Texas(2/1/2024)
RR
Texas(9/5/2025)
RR
Vermont(9/18/2025)
RR
Virginia(9/5/2025)
RR
West Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
