Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Vaughn is a financial advisor with LPL Financial LLC. Patrick is based in CHARLOTTE, NC and has been in the industry since 1989. Patrick has a wide range of experience, having worked for several firms including Wachovia Securities Financial Network, LLC, A. G. Edwards & Sons, Inc., and Lehman Brothers Inc. Patrick is registered with FINRA and holds the Series 7, Series 9, Series 63, and Series 66 licenses. Patrick is also registered to provide investment advisory services in multiple states.
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.
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2
NC
01/28/2020 - Present
LPL Financial LLC (CHARLOTTE NC)
NC
11/01/2007 - 09/06/2019
SUMMIT BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NC
07/31/1995 - 11/05/2007
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CHARLOTTE NC)
NC
10/29/1992 - 08/08/1995
MARION BASS SECURITIES CORPORATION (CHARLOTTE NC)
MO
09/21/1990 - 08/27/1991
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
02/15/1988 - 10/17/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/16/1987 - 02/15/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 05/23/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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