Brian A. Kellett

KELLETT WEALTH ADVISORS

Cincinnati, OH 45242

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CRD#: 4781061

Professional summary

Brian Anthony Kellett, CFP® is a registered financial advisor currently at KELLETT WEALTH ADVISORS, LLC located in Cincinnati, Ohio.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Brian has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 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. 3/2017 - KELLETT SCHAFFNER WEALTH ADVISORS, LLC - Investment Related Business- 8944 Blue Ash Road, Cincinnati, Ohio 45242- RIA- Owner- 25 hours/month- 20 during trading hours- Investment advisor, fee based practice. 2. 4/16/2013: NON-VARIABLE INSURANCE - SELL TERM LIFE INSURANCE. NOT A MAIN SOURCE OF INCOME OR GROWTH. DO NOT SOLICIT THE BUSINESS. - TIME SPENT 1% - CINCINNATI, OH. 3.* St.Xavier Highschool * Other - Coach * NOT INV REL * 600 W North Bend Rd, Cincinnati, OH 45224 * START 05/31/2018 * I will be the assistant varsity basketball coach * 10-12 HRS/Wk; 0 HRS/MO DURING SECS TRDG HRS. 4. 03/2017 * GNK Properties, LLC * CINCINNATI, OH * Managing Member * Firm owns the building from which the RIA conducts business. * 1hr per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Anthony Kellett'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

March 10, 2017 - Present

KELLETT WEALTH ADVISORS, LLC

Office #1: 8944 Blue Ash Road, Cincinnati, OH 45242

RIA

CRD#: 287571

Cincinnati, OH

Past

April 10, 2017 - December 31, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Cincinnati, OH

Past

November 17, 2008 - April 21, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

CINCINNATI, OH

Past

November 14, 2008 - April 21, 2017

LPL FINANCIAL LLC

CRD#: 6413

CINCINNATI, OH

Past

May 17, 2006 - November 12, 2008

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

WILMINGTON, OH

Past

May 17, 2006 - November 12, 2008

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

WILMINGTON, OH

Past

January 19, 2006 - May 19, 2006

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

CINCINNATI, OH

Past

December 13, 2004 - May 19, 2006

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

September 15, 2004 - November 4, 2004

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

April 28, 2004 - September 16, 2004

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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".

KELLETT WEALTH ADVISORS, LLC

KELLETT SCHAFFNER WEALTH ADVISORS LLC | KELLETT WEALTH ADVISORS, LLC

CRD#: 287571 / SEC#: 801-120400

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

Florida

Registered Investment Advisory firm - (3/4/2021 Terminated)

Kentucky

Registered Investment Advisory firm - (3/4/2021 Terminated)

Ohio

Registered Investment Advisory firm - (3/4/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(7/24/2018)

IAR

Kentucky
(7/6/2017)

IAR

Ohio
(3/10/2017)

IAR

Texas
(2/28/2023)

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 66

Date: 11/10/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/5/2013

General Securities Principal Examination

Current Firm

KELLETT WEALTH ADVISORS, LLC

KELLETT SCHAFFNER WEALTH ADVISORS LLC | KELLETT WEALTH ADVISORS, LLC

CRD#: 287571 / SEC#: 801-120400

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

Florida

Registered Investment Advisory firm - (3/4/2021 Terminated)

Kentucky

Registered Investment Advisory firm - (3/4/2021 Terminated)

Ohio

Registered Investment Advisory firm - (3/4/2021 Terminated)

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Contact information

Main Address

8944 Blue Ash Road, Cincinnati, OH 45242

Mailing Address

Phone number

(513) 554-1472

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (1/13/2025)

Regulatory assets under management

Total Number of Accounts	1,053
AUM (Assets Under Management)	$ 304,156,165

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

Brian A. Kellett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Anthony Kellett's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

FORESTERS EQUITY SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

KELLETT WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2005

SIE

Date: 10/1/2018

Series 7

Date: 4/27/2004

Series 24

Date: 4/5/2013

Current Firm

KELLETT WEALTH ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KELLETT WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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