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RIA / WealthAdvisorCertified Financial Planner41 years in industry

SCOTT VINCENT KAUP

Advisor at PROSPERITY CAPITAL ADVISORS

Stuart, NE | WESTLAKE, OH

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Search this name across graphsid dfx:ria:d1a8368a-ff68-6da7-0d98-d86ffe177370

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 4, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PROSPERITY CAPITAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 5
Designations: Certified Financial Planner
Exams: S63
First exam: Aug 15, 1990
First registration: Sep 4, 1998
Dual registered: no
IAPD individual key: 1002907

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PROSPERITY CAPITAL ADVISORS	Independent wealth	Jul 19, 2024	n/a	yes	Stuart, NE\|WESTLAKE, OH	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	Jul 22, 2024	no	STUART, NE	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Mar 22, 2021	Jun 29, 2023	no	STUART, NE	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Sep 1, 2016	May 20, 2021	no	STUART, NE	Previous registration
VSR ADVISORY SERVICES	Former SEC adviser	Feb 20, 2003	Sep 1, 2016	no	STUART, NE\|STUART, NE\|OVERLAND PARK, KS\|OVERLAND PARK, KS	Previous registration
THE MASTERS, INC.	n/a	Sep 4, 1998	Feb 11, 2003	no	OVERLAND PK, KS	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	PROSPERITY CAPITAL ADVISORS	Jul 22, 2024	Jul 19, 2024	-3	Firm change	Ibd to RIA
CETERA ADVISOR NETWORKS LLC	CETERA INVESTMENT ADVISERS LLC	Jun 29, 2023	Jun 29, 2023	0	Bulk transfer	Ibd to ibd
SUMMIT FINANCIAL GROUP INC	CETERA ADVISOR NETWORKS LLC	May 20, 2021	Mar 22, 2021	-59	Channel change	Ibd to ibd
VSR ADVISORY SERVICES	SUMMIT FINANCIAL GROUP INC	Sep 1, 2016	Sep 1, 2016	0	Bulk transfer	Other
THE MASTERS, INC.	VSR ADVISORY SERVICES	Feb 11, 2003	Feb 20, 2003	9	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105644:156480:NE:2024-07-22	Jul 22, 2024	Jul 19, 2024	STUART, NE	Firm change

Relationships

Registered with (6)

→ PROSPERITY CAPITAL ADVISORSRegistered adviserregistration: current employment
Jul 19, 2024 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 29, 2023 to Jul 22, 2024factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Mar 22, 2021 to Jun 29, 2023factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Sep 1, 2016 to May 20, 2021factForm ADV
→ VSR ADVISORY SERVICESRegistered adviserregistration: previous registration
Feb 20, 2003 to Sep 1, 2016factForm ADV
→ THE MASTERS, INC.Registered adviserregistration: previous registration
Sep 4, 1998 to Feb 11, 2003factForm ADV

Dated events

Occurred
Jul 22, 2024
Advisor changed firm
Scott Vincent Kaup left Cetera Investment Advisers Llc for Prosperity Capital Advisors (registered 2024-07-19)
Form ADVobserved 5 days ago