Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Duffey Vaughan is a financial advisor with over 40 years of experience in the industry. Charles is currently registered with Cambridge Investment Research Advisors, Inc. and is an investment advisor representative for the firm in Cincinnati, Ohio. Previously, Charles Vaughan was employed by Crown Capital Securities, LP, Mutual Service Corporation, Titan/Value Equities Group, Inc., Kavanaugh Securities, Inc., Queen City Securities Corporation, Shearson Lehman Brothers Inc., Prudential-Bache Securities Inc., Bache Halsey Stuart Inc., Bache & Co Incorporated, Bache & Co., Incorporated, W. E. Hutton & Co., Thomson McKinnon Securities Inc., and Dupont Walston, Incorporated.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
OH
02/05/2024 - Present
Cambridge Investment Research Advisors, Inc. (Cincinnati OH)
OH
10/05/2001 - 02/09/2024
CROWN CAPITAL SECURITIES, L.P. (CINCINNATI OH)
MA
03/31/1999 - 10/08/2001
MUTUAL SERVICE CORPORATION (BOSTON MA)
CA
05/26/1988 - 03/31/1999
TITAN/VALUE EQUITIES GROUP, INC. (IRVINE CA)
NA
02/23/1988 - 06/02/1988
KAVANAUGH SECURITIES, INC.
NA
02/24/1986 - 02/25/1988
QUEEN CITY SECURITIES CORPORATION
NA
02/07/1983 - 03/05/1986
SHEARSON LEHMAN BROTHERS INC.
NA
09/16/1977 - 02/17/1983
PRUDENTIAL-BACHE SECURITIES INC.
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
02/27/1976 - 08/27/1976
BACHE & CO INCORPORATED
NA
10/07/1974 - 02/27/1976
BACHE & CO., INCORPORATED
NA
08/24/1973 - 08/19/1975
W. E. HUTTON & CO.
NA
07/08/1974 - 11/10/1974
THOMSON MCKINNON SECURITIES INC.
NA
12/30/1968 - 09/19/1971
DUPONT WALSTON, INCORPORATED
IA
Issued 09/29/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/1991
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 02/15/1982
Series 5 - Interest Rate Options Examination
BC
Issued 09/01/1962
Series 000 - General Securities Principal Examination
BC
Issued 08/28/1962
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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