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Richard Leigh Vaughan

Maxim Group LLC

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About Richard Leigh Vaughan

Richard Vaughan has been in the financial services industry since 1993 and is currently registered with Maxim Group LLC in Red Bank, NJ. Richard has held prior roles with UBS Securities LLC, Schwab Capital Markets L.P., Spear, Leeds & Kellogg, L.P., First Union Securities, Inc., First Union Capital Markets Corp., Summit Investment Group, Inc., Investcorp, Inc., Penn Capital Financial Services, Inc., and L.C. Wegard & Co., Inc. Richard holds Series 4, 7, 55, 57TO, and 63 licenses.

Firm Information

Richard Vaughan is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Richard Vaughan’s Registration & Firm History

NJ

11/01/2005 - Present

Maxim Group LLC (RED BANK NJ)

NY

10/29/2004 - 08/25/2005

UBS SECURITIES LLC (NEW YORK NY)

CT

09/09/2002 - 11/01/2004

SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)

NY

12/01/1999 - 08/26/2002

SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)

MO

10/01/1999 - 11/19/1999

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

NC

01/05/1998 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

PA

06/25/1996 - 01/14/1998

SUMMIT INVESTMENT GROUP, INC. (PITTSBURGH PA)

FL

02/06/1995 - 07/10/1996

INVESTACORP, INC. (MIAMI FL)

PA

02/26/1993 - 02/28/1995

PENN CAPITAL FINANCIAL SERVICES, INC. (PITTSBURGH PA)

NY

11/16/1992 - 03/08/1993

L.C. WEGARD & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/19/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/17/1994

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/12/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/11/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Richard Leigh Vaughan.
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