Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Vaughn is an active investment advisor representative. Richard has been in the industry since February 1994 and is currently registered with Wells Fargo Clearing Services, LLC. Previously, Richard was registered with A.G. Edwards & Sons, Inc. and Morgan Stanley DW Inc. Richard's current registration with Wells Fargo Clearing Services, LLC is in Florida and has been active since January 2008. Richard has been a registered representative with Wells Fargo Clearing Services, LLC since November 2016 and has been working with them since May 2009. Richard has a total of 6 approved SRO registrations, 1 approved FINRA registrations, 14 approved state registrations, and 1 approved IA state registration. Richard has also passed 1 state exam, 3 product exams, and 2 principal exams. The most recent exam Richard took was the Securities Industry Essentials Examination (SIE) in October 2018. Richard also has specializations in: Financial Planning, Retirement Planning, College Savings Plans, Insurance, and Estate Planning.
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.
1
2
MA
01/01/2008 - Present
Wells Fargo Clearing Services, LLC (HYANNIS MA)
MA
02/10/2004 - 01/03/2008
A. G. EDWARDS & SONS, INC. (CENTERVILLE MA)
NY
02/01/1994 - 01/14/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 02/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/16/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/07/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 01/28/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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