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Timothy P Vaughan

Loop Capital Markets LLC

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About Timothy P Vaughan

Timothy P Vaughan is a registered representative with Loop Capital Markets LLC. Timothy has over 20 years of experience in the financial industry and is licensed in Illinois. Timothy's background includes roles at KBC Financial Products USA, INC. and Loop Capital Markets LLC. Timothy holds Series 7, 55, 57TO, and 63 licenses.

Firm Information

Timothy Vaughan is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

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.

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transition management services/equity research services

Transition management services/equity research services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Timothy Vaughan’s Registration & Firm History

IL

03/19/2010 - Present

Loop Capital Markets LLC (CHICAGO IL)

NY

05/06/2002 - 03/08/2010

KBC FINANCIAL PRODUCTS USA, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/22/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/16/2003

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/04/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Timothy P Vaughan.
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