Reynold F. Vaughan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Reynold Frank Vaughan III, who also goes by Ren Vaughan III, Ren Vaughan, Reynold Frank III Vaughan, was a registered financial professional .
Reynold is a previously registered financial professional and started their career in finance in 1982. Reynold had worked at 10 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2009 - May 11, 2023
SW FINANCIAL
February 11, 2008 - March 9, 2009
PRESTIGE FINANCIAL CENTER, INC.
January 25, 2007 - January 15, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
September 15, 2004 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
May 22, 1996 - September 2, 2004
KIRLIN SECURITIES INC.
August 8, 1994 - October 29, 1994
OPPENHEIMER & CO. INC.
March 5, 1991 - August 8, 1994
REICH & CO., INC.
May 4, 1990 - March 1, 1991
MORGAN STANLEY DW INC.
April 12, 1988 - April 12, 1990
LEHMAN BROTHERS INC.
January 18, 1982 - April 13, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 1/26/1982
Interest Rate Options ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
