BV
Bruce D. Vaughn
CETERA INVESTMENT ADVISERS LLC
VIENNA, VA 22182
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CRD#: 1208744
BV
Professional summary
Bruce David Vaughn, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Vienna, Virginia and CETERA WEALTH SERVICES, LLC located in Vienna, Virginia.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Bruce has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) VARIOUS INSURANCE COMPANIES, INSURANCE, REPRESENTATIVE - SELLS FIXED INSURANCE - LIFE, LTC, DISABILITY AND HEALTH; (2) CRUMP LIFE INSURANCE, 4250 CRUMS MILL ROAD, HARRISBURG, PA 17112, INSURANCE, REPRESENTATIVE, FIXED LIFE AND LTC SALES; (3) NAME OF OTHER BUSINESS: VLP FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: DBA FOR ADVISORY INVESTMENT MANAGEMENT POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNER AND 10% OWNER START DATE: 10/01/2012 APX NUMBER OF HOURS PER WEEK: 45 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OFFERS A VARIETY OF FINANCIAL SERVICES; (4) NAME OF OTHER BUSINESS: PARAGON WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: RECRUITING NEW REPS TO CETERA ADVISOR NETWORKS REGION START DATE: 10/2016 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF TRADING HOURS PER WEEK: 1 POSITION/TITLE/RELATIONSHIP: REGIONAL DIRECTOR BRIEF DESCRIPTION OF DUTIES: PROVIDE LEADERSHIP FOR REGION'S REP, RECRUIT REPS
CRS (Client Relationship Summary) - RIA
Click below to view Bruce David Vaughn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8391 Old Courthouse Rd Ste 203, Vienna, VA 22182Office #2: 511 Crows Point Road, Swanton, MD 21561RIA
CRD#: 105644
VIENNA, VA
Current
March 12, 1990 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8391 Old Courthouse Rd Ste 203, Vienna, VA 22182BD
CRD#: 13572
Vienna, VA
Past
December 23, 1996 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
VIENNA, VA
Past
October 26, 1989 - February 21, 1990
FOCUS II SECURITIES, INC.
BD
CRD#: 25068
Past
October 27, 1988 - October 31, 1989
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
October 4, 1984 - November 16, 1988
FOCUS SECURITIES, INC.
BD
CRD#: 15023
Past
December 7, 1983 - October 9, 1984
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/2/2024)
RR
Arizona(10/5/2000)
RR
Arkansas(1/2/2024)
RR
California(10/28/1997)
RR
Colorado(9/5/2008)
RR
Connecticut(2/2/2006)
RR
Delaware(10/28/1997)
RR
District of Columbia(3/13/1990)
RR
Florida(10/30/1997)
RR
Georgia(7/28/2004)
RR
Hawaii(11/7/2018)
RR
Idaho(7/6/2016)
RR
Illinois(11/3/2014)
RR
Indiana(2/27/2014)
RR
Iowa(5/19/2017)
RR
Kansas(1/20/2022)
RR
Louisiana(4/2/2020)
RR
Maine(5/21/2014)
RR
Maryland(3/12/1990)
IAR
Maryland(11/21/2024)
RR
Massachusetts(6/20/2011)
RR
Michigan(1/3/2011)
RR
Minnesota(9/15/2015)
RR
Mississippi(1/4/2010)
RR
Missouri(2/5/2020)
RR
Nevada(6/6/2011)
RR
New Hampshire(1/2/2024)
RR
New Jersey(8/12/2021)
RR
New Mexico(2/11/2020)
RR
New York(9/19/1994)
RR
North Carolina(5/23/1995)
RR
Ohio(10/14/2008)
RR
Oregon(2/24/1997)
RR
Pennsylvania(5/3/2000)
RR
Rhode Island(12/3/2019)
RR
South Carolina(4/1/2004)
RR
Texas(2/26/2008)
IAR
Texas(6/29/2023)
RR
Vermont(1/2/2024)
RR
Virginia(3/14/1990)
IAR
Virginia(6/29/2023)
RR
Washington(5/21/2015)
RR
West Virginia(10/4/2000)
RR
Wisconsin(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
