Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Vaughn is a financial advisor with over 40 years of experience in the financial services industry. Thomas has been registered with Northwestern Mutual Investment Services, LLC since 2011. Prior to that, Thomas worked for ROBERT W. BAIRD & CO. INCORPORATED. Thomas is licensed to sell securities in 24 states and has a variety of licenses, including Series 6, 7, 9, 10, 63 and 65.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
FL
02/24/1982 - Present
Northwestern Mutual Investment Services, LLC (PENSACOLA FL)
WI
09/12/1988 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 12/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/30/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/02/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2000
Series 7 - General Securities Representative Examination
BC
Issued 02/15/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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