Vaughn W. Kellerman

GANNETT WEALTH ADVISORS

Cleve, OH

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CRD#: 6603388

Professional summary

Vaughn William Kellerman, CFP®, who also goes by Vaughn William Kellerman, Vaughn Kellerman, is a registered financial advisor currently at GANNETT WEALTH ADVISORS located in Cleve, Ohio.

Vaughn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Vaughn has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

What are your service offerings?

Debt Management

Comprehensive Financial Planni...

Tax Planning

Investment Planning

Budgeting

Education Planning

Insurance Planning

Social Security Planning

Employee and Employer Plan Ben...

Retirement Planning

Estate Planning

Inheritance

Do you have an area of expertise or specialization?

Millennials

What is your minimum asset requirement?

100K

Are you a "fiduciary"?

Yes

Aliases

Vaughn William Kellerman | Vaughn Kellerman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vaughn William Kellerman'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: 2022

Experience

Current

May 21, 2024 - Present

GANNETT WEALTH ADVISORS

RIA

CRD#: 328213

Cleve, OH

Past

September 23, 2021 - March 14, 2024

HCM WEALTH ADVISORS

RIA

CRD#: 107700

CINCINNATI, OH

Past

August 3, 2020 - September 8, 2021

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Cincinnati, OH

Past

August 3, 2020 - September 8, 2021

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CINCINNATI, OH

Past

January 22, 2020 - July 29, 2020

W&S BROKERAGE SERVICES, INC.

RIA

CRD#: 8099

LOVELAND, OH

Past

January 22, 2020 - July 29, 2020

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

LOVELAND, OH

Past

March 21, 2016 - October 23, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

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".

GANNETT WEALTH ADVISORS

GANNETT WEALTH ADVISORS | SOUND ADVISORY, LLC | SOUND ADVISORY LLC | SOUND ADVISORY

CRD#: 328213 / SEC#: 801-131907

RIA

Registered Investment Advisory firm - (2/3/2025 Approved)

California

Registered Investment Advisory firm - (3/9/2025 Terminated)

Florida

Registered Investment Advisory firm - (2/7/2025 Terminated)

Idaho

Registered Investment Advisory firm - (2/7/2025 Terminated)

Ohio

Registered Investment Advisory firm - (2/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/7/2025 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

Ohio
(5/29/2024)

IAR

Texas
(9/4/2024)

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: 2/5/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/22/2016

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 7/26/2016

General Securities Sales Supervisor - General Module Examination

Current Firm

GANNETT WEALTH ADVISORS

GANNETT WEALTH ADVISORS | SOUND ADVISORY, LLC | SOUND ADVISORY LLC | SOUND ADVISORY

CRD#: 328213 / SEC#: 801-131907

RIA

Registered Investment Advisory firm - (2/3/2025 Approved)

California

Registered Investment Advisory firm - (3/9/2025 Terminated)

Florida

Registered Investment Advisory firm - (2/7/2025 Terminated)

Idaho

Registered Investment Advisory firm - (2/7/2025 Terminated)

Ohio

Registered Investment Advisory firm - (2/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/7/2025 Terminated)

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Contact information

Main Address

Middleton, ID

Mailing Address

601 Congress Ave Suite 200, Austin, TX 78701

Phone number

(208) 254-0142

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	168
AUM (Assets Under Management)	$ 69,904,180

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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Firm Stability Insights

Vaughn W. Kellerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vaughn William Kellerman's CRS (Customer Relationship Summary).

Certified licenses

Experience

HCM WEALTH ADVISORS

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

GANNETT WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/2020

Series 63

Date: 4/1/2016

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2016

Series 9

Date: 8/22/2016

Series 10

Date: 7/26/2016

Current Firm

GANNETT WEALTH ADVISORS

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GANNETT WEALTH ADVISORS

TRUST BUT VERIFY

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