Kelly Gannon

JAMES RIVER ASSET MANAGEMENT

Midlothian, VA 23113

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CRD#: 6700338

Professional summary

Kelly Gannon, CFP® is a registered financial advisor currently at JAMES RIVER ASSET MANAGEMENT, LLC located in Midlothian, Virginia.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Kelly has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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) James River Wealth Advisors - DBA; Investment related; 15521 Midlothian Turnpike, Ste 100, Midlothian, VA 23113; Senior Financial Advisor; Financial Planning and advising; Start 1982; 0 hrs and 0 hrs during trading hours. (2) James River Asset Management LLC - DBA; Investment Related; 15521 Midlothian Turpike, Ste 100, Midlothian, VA 23113; RIA/Financial Planning Specialist; Financial Planning for families and businesses; Start 5/1995; 160 hrs and 160 hrs during trading. (3) Fixed Insurance - Non-Investment Related; 15521 Midlothain Turnpike, Suite 100, Midlothian, VA 23113; Insurance Agent; Start date 11/22/2022; 0 hours a month, 0 hours during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Gannon'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: 2021

Experience

Current

January 12, 2023 - Present

JAMES RIVER ASSET MANAGEMENT, LLC

Office #1: 15521 Midlothian Tnpk. Suite 100, Midlothian, VA 23113

RIA

CRD#: 117917

Midlothian, VA

Past

June 2, 2021 - March 8, 2024

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Midlothian, VA

Past

June 20, 2019 - June 1, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

GLEN ALLEN, VA

Past

June 19, 2019 - June 1, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

GLEN ALLEN, VA

Past

June 21, 2018 - June 25, 2019

FORESTERS ADVISORY SERVICES, LLC

RIA

CRD#: 164663

Glen Allen, VA

Past

September 30, 2016 - June 25, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

GLEN ALLEN, VA

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".

JAMES RIVER ASSET MANAGEMENT, LLC

CRD#: 117917 / SEC#: 801-112743

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

Virginia

Registered Investment Advisory firm - (10/1/2018 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

Virginia
(1/12/2023)

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 65

Date: 5/24/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/7/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/16/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/30/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JAMES RIVER ASSET MANAGEMENT, LLC

CRD#: 117917 / SEC#: 801-112743

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

Virginia

Registered Investment Advisory firm - (10/1/2018 Terminated)

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Contact information

Main Address

15521 Midlothian Tnpk. Suite 100, Midlothian, VA 23113

Mailing Address

Phone number

(804) 323-0517

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,180
AUM (Assets Under Management)	$ 235,964,765

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

Kelly Gannon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Gannon's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT ADVISERS LLC

FORESTERS ADVISORY SERVICES, LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

JAMES RIVER ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2018

Series 63

Date: 10/7/2016

Series 7TO

Date: 8/16/2019

SIE

Date: 10/1/2018

Series 6

Date: 9/30/2016

Current Firm

JAMES RIVER ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JAMES RIVER ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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