Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stuart? Claim Your ProfileStuart Alan Vaughn is a financial advisor with over 6 years of experience in the industry. Stuart Alan Vaughn is currently registered with Independent Advisor Alliance, LLC, a Registered Investment Advisor (RIA) with over $1 billion - $10 billion in assets under management. Stuart Alan Vaughn is also a Certified Financial Planner (CFP) and holds the Series 6, Series 7TO, and Series 63 licenses. Stuart Alan Vaughn specializes in providing financial planning, portfolio management, and pension consulting services to individuals, high-net-worth individuals, corporations, and charitable organizations. Stuart Alan Vaughn is committed to providing personalized financial advice and guidance to help clients achieve their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
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NC
11/22/2024 - Present
Independent Advisor Alliance, LLC (Charlotte NC)
NC
06/09/2017 - 09/18/2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CHARLOTTE NC)
BC
Issued 06/30/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/05/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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