Timothy J. 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.
Timothy James Vaughan was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1984. Timothy had worked at 5 firms and has passed the Series 63, Series 15 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
June 16, 1993 - December 6, 1994
NEXT ADVISORS INC.
July 8, 1988 - July 31, 1992
OPPENHEIMER & CO. INC.
February 12, 1988 - February 24, 1988
MORGAN STANLEY DW INC.
July 26, 1984 - February 20, 1988
A. G. EDWARDS & SONS, INC.
February 24, 1984 - July 23, 1984
DALEY & COMPANY
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 15
Date: 3/15/1985
Foreign Currency Options ExaminationCurrent Firm
NEXT ADVISORS INC.
CRD#: 14612 / SEC#: , 8-30922
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
