Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vaughn? Claim Your ProfileVaughn Brian Swartz is a financial professional with over 20 years of experience in the financial services industry. Vaughn has held positions at several prominent firms, including PNC Investments, TD Securities (USA) LLC, and Wachovia Capital Markets, LLC. Vaughn is currently registered with Rabo Securities USA, Inc. and holds a variety of licenses and qualifications including Series 3, 4, 6, 7, 24, 52, 53, 55, 57, 63, and 79. Vaughn is licensed in the state of New York.
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.
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.
1
2
NY
04/12/2016 - Present
Rabo Securities USA, Inc. (NEW YORK NY)
NY
01/17/2012 - 02/01/2016
TD SECURITIES (USA) LLC (NEW YORK NY)
VA
12/06/2007 - 01/06/2012
HARRIS WILLIAMS & CO. (RICHMOND VA)
PA
12/06/2007 - 01/06/2012
PNC CAPITAL MARKETS LLC (PHILADELPHIA PA)
PA
12/06/2007 - 01/06/2012
PNC INVESTMENTS (PITTSBURGH PA)
NC
01/14/2005 - 11/06/2007
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
NY
05/07/2003 - 01/03/2005
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
02/04/1998 - 06/19/2001
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NJ
09/26/1997 - 11/03/1997
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 02/08/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/18/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/25/2006
Series 4 - Registered Options Principal Examination
BC
Issued 03/29/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2011
Series 3 - National Commodity Futures Examination
BC
Issued 04/19/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/18/1999
Series 7 - General Securities Representative Examination
BC
Issued 09/15/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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