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SV

Sharon E. Vaughn

Some features on this profile are disabled
CRD#: 1092117
SV

Professional summary

Sharon Eileen Vaughn was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Sharon is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Sharon had worked at 7 firms, which includes MILESTONE FINANCIAL SERVICES INC., HAYES ROGERS INC., R. D. KUSHNIR & CO., RODMAN & RENSHAW INC., MESIROW INVESTMENT SERVICES INC., BLUNT ELLIS & LOEWI INCORPORATED, THOMSON MCKINNON SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sharon Shea

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 18, 1999 - April 13, 2006

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
BOHEMIA, NY
Past

October 5, 1993 - April 19, 1996

HAYES, ROGERS, INC.

BD
CRD#: 30659
Past

August 5, 1992 - June 24, 1997

R. D. KUSHNIR & CO.

BD
CRD#: 24013
NORTHBROOK, IL
Past

May 2, 1991 - July 10, 1992

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL
Past

June 20, 1988 - May 1, 1991

MESIROW INVESTMENT SERVICES, INC.

BD
CRD#: 15113
Past

January 6, 1986 - June 28, 1988

BLUNT ELLIS & LOEWI INCORPORATED

BD
CRD#: 7580
Past

March 1, 1983 - January 23, 1986

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/7/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/3/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/8/1988
General Securities Principal Examination

Current Firm

MF
MILESTONE FINANCIAL SERVICES, INC.
FIRST ACCESS INVESTMENT GROUP A DIVISION OF MILESTONE FINANCIAL | TRADING 2000 A DIVISION OF MILESTONE FINANCIAL SERVICES, INC. | MILESTONE FINANCIAL SERVICES, INC. | MILESTONE FINANCIAL SERVICES, INC

CRD#: 43295 / SEC#: , 8-50225

BD
Terminated by SEC on 12/02/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/10/1997
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MILESTONE FINANCIAL HOLDINGS, INC.100% SHAREHOLDER
KOPLEY, JAMES MICHAELFINOP1849072
SCHONBERG, MATTHEW JOSEPHPRESIDENT, CHIEF COMPLIANCE OFFICER, ROSFP2757635

Disclosures

Arbitration5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MILESTONE FINANCIAL SERVICES, INC.

CRD#: 43295

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