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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Vaughan is a registered investment advisor representative with Morgan Stanley. Richard has been in the financial services industry since 1995. Richard has a variety of experience in the financial services industry and is registered with the Securities and Exchange Commission. Richard holds several licenses, including Series 7, Series 10, and Series 9. Richard provides financial planning, portfolio management, and educational seminars.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
GA
04/08/2020 - Present
Morgan Stanley (Atlanta GA)
GA
04/01/1996 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (VALDOSTA GA)
NJ
06/27/1995 - 03/04/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 11/11/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/12/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/1996
Series 3 - National Commodity Futures Examination
BC
Issued 06/26/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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