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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 Vaughn is a financial advisor at Raymond James & Associates, Inc. Richard has been in the financial services industry since 1984 and has experience working at multiple firms including Morgan Keegan & Company, Inc., Regions Investment Company, Inc., First Union Brokerage Services, Inc., Dominion Investment Banking, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard is currently registered with the state of Tennessee as both a broker-dealer and an investment advisor representative. Richard has a broad range of experience providing financial advice to individual investors, business owners, trusts, and institutions. Richard holds the Series 7, Series 63, Series 65 and SIE licenses.
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.
Please see note in schedule d - miscellaneous
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
TN
02/13/2013 - Present
Raymond James & Associates, Inc. (NASHVILLE TN)
TN
04/12/2001 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (NASHVILLE TN)
AL
04/07/1994 - 04/12/2001
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
NC
05/28/1993 - 03/16/1994
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NA
02/26/1990 - 05/28/1993
DOMINION INVESTMENT BANKING, INC.
NY
08/21/1984 - 10/24/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 11/17/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/04/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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