Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Alexander Vaughn is a financial professional with experience in the financial services industry. Joseph is currently a registered representative with LPL Financial LLC, and is licensed to provide investment advice in multiple states, including South Carolina and Texas. Prior to joining LPL Financial LLC, Joseph was affiliated with TIAA-CREF Individual & Institutional Services, LLC. Joseph has a broad range of financial expertise and holds several industry credentials, including the Series 7, 6, 63, 66, and 99 exams.
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.
Consulting and other non-discretionary advisory services
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.
1
2
SC
03/13/2024 - Present
LPL Financial LLC (FORT MILL SC)
NC
07/18/2023 - 11/06/2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
BOTH
Issued 02/02/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/26/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2023
Series 7TO - General Securities Representative Examination
BC
Issued 12/07/2023
Series 99TO - Operations Professional Examination
BC
Issued 07/18/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 06/30/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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