Richard A. 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.
Richard Allen Vaughan, who also goes by Dick Vaughan, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1982. Richard had worked at 14 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2006 - November 27, 2006
SPIRE WEALTH MANAGEMENT, LLC
September 5, 2006 - November 30, 2006
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 20, 2004 - July 13, 2006
D.H. HILL SECURITIES, LLLP
February 10, 2004 - August 2, 2004
CAPNET SECURITIES CORPORATION
June 14, 2002 - August 16, 2002
OSAIC WEALTH, INC.
September 8, 2000 - August 2, 2001
FARMERS FINANCIAL SOLUTIONS, LLC
April 5, 1999 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
January 3, 1997 - September 29, 1999
CETERA WEALTH SERVICES, LLC
May 12, 1994 - August 30, 1996
MONY SECURITIES CORPORATION
July 29, 1993 - March 18, 1994
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 8, 1992 - May 5, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 8, 1992 - May 5, 1993
PRUCO SECURITIES, LLC.
February 20, 1987 - September 9, 1989
A. G. EDWARDS & SONS, INC.
November 9, 1982 - March 18, 1987
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
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
Current Firm
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,808 |
| AUM (Assets Under Management) | $ 4,617,171,037 |
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.
