Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marcy? Claim Your ProfileMarcy Vaughan is a financial advisor in Scottsdale, Arizona with over 20 years of experience in the financial industry. Marcy is registered with Wells Fargo Clearing Services, LLC and is a licensed real estate agent in Arizona. Marcy has a strong track record of providing comprehensive financial advice to individuals, families, and businesses. Marcy is committed to building strong relationships with clients and helping them achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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.
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AZ
07/28/2021 - Present
Wells Fargo Clearing Services, LLC (SCOTTSDALE AZ)
AZ
05/27/2021 - 07/15/2021
RAYMOND JAMES FINANCIAL SERVICES, INC. (SCOTTSDALE AZ)
CO
11/04/2020 - 05/10/2021
MORGAN STANLEY (DENVER CO)
CO
05/11/2020 - 10/14/2020
WESTERN INTERNATIONAL SECURITIES, INC. (Denver CO)
AZ
02/11/2016 - 06/18/2019
WELLS FARGO CLEARING SERVICES, LLC (SCOTTSDALE AZ)
CO
10/23/2015 - 02/22/2016
UBS FINANCIAL SERVICES INC. (BOULDER CO)
AZ
01/03/2011 - 10/06/2015
WELLS FARGO ADVISORS, LLC (SCOTTSDALE AZ)
AZ
06/25/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SCOTTSDALE AZ)
VA
05/06/2008 - 06/27/2008
SUNTRUST INVESTMENT SERVICES, INC. (CHARLOTTESVILLE VA)
AZ
06/10/2004 - 05/02/2006
USAA INVESTMENT MANAGEMENT COMPANY (PHOENIX AZ)
CA
12/12/2000 - 05/21/2004
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MO
03/15/2002 - 04/23/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
CA
01/19/1999 - 05/07/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MN
09/25/1998 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
VA
08/20/1996 - 06/22/1998
CRESTAR SECURITIES CORPORATION (RICHMOND VA)
BC
Issued 03/29/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/21/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/11/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/06/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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