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LV

Lynwood B. Vaughan

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CRD#: 1233790
LV

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.

Lynwood Bernard Vaughan, who also goes by Buck Vaughan Jr, Lynwood Bernard Vaughan Jr, was a registered financial professional .

Lynwood is a previously registered financial professional and started their career in finance in 1984. Lynwood had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Buck Vaughan Jr | Lynwood Bernard Vaughan Jr

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

January 6, 2016 - March 8, 2016

ALLUVION SECURITIES, LLC

BD
CRD#: 143623
MEMPHIS, TN
Past

March 1, 2010 - August 20, 2013

MOODY CAPITAL SOLUTIONS, INC

BD
CRD#: 15989
DAWSONVILLE, GA
Past

July 14, 2008 - October 6, 2008

MSC - BD, LLC

BD
CRD#: 142927
LAKE OSWEGO, OR
Past

June 23, 2005 - August 17, 2006

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
NORCROSS, GA
Past

March 30, 2001 - July 31, 2001

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

April 6, 1992 - June 28, 2005

AMERICAN WEALTH MANAGEMENT, INC.

BD
CRD#: 25536
ALPHARETTA, GA
Past

September 26, 1991 - March 20, 1992

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 26, 1987 - January 21, 1992

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

January 26, 1987 - January 21, 1992

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

November 13, 1985 - January 30, 1987

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

March 23, 1984 - November 7, 1985

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691

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
RR
Series 63
Date: 4/4/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1984
General Securities Representative Examination

Current Firm

AS
ALLUVION SECURITIES, LLC
ALLUVION SECURITIES, LLC

CRD#: 143623 / SEC#: , 8-67584

BD
Terminated by SEC on 02/20/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/02/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE HARBOR BANK OF MARYLANDMEMBER
FOLEY, LEANDER JOSEPH IIIMEMBER
LENSING, DAVID CASPERMEMBER/OWNER5103288
FAIRCHILDS, CHELSEY LAURENCCO/CEO5744289
MASTERS, KEVIN CRAWFORDFINOP/CFO2730013

Disclosures

Regulatory Event4

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.

Company Information

ALLUVION SECURITIES, LLC

CRD#: 143623

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