Rosann P. Vaughn
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.
Rosann Philomena Vaughn, who also goes by Rosann Philomena Bruno, Rosann Brunovaughn, Rosann Bruno Vaughn, was a registered financial professional .
Rosann is a previously registered financial professional and started their career in finance in 1985. Rosann had worked at 13 firms and has passed the Series 63 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
November 27, 2007 - May 12, 2014
ODD LOT BONDS, INC
January 2, 2004 - February 13, 2007
NATALLIANCE SECURITIES, LLC
November 8, 2002 - January 12, 2004
JENCKS & COMPANY LLC
November 26, 2001 - November 4, 2002
NATALLIANCE SECURITIES, LLC
January 5, 2000 - November 26, 2001
INTERFIRST CAPITAL CORPORATION
December 9, 1999 - December 31, 1999
LINTZ GLOVER WHITE & COMPANY, INC.
July 31, 1998 - August 23, 1999
SUNCOAST CAPITAL GROUP, LTD.
January 2, 1997 - August 11, 1998
OPPENHEIMER & CO. INC.
August 20, 1996 - January 24, 1997
INTERCREDIT CAPITAL MARKETS, INC.
February 17, 1995 - August 14, 1996
SUNCOAST CAPITAL GROUP, LTD.
April 2, 1992 - February 21, 1995
GRUNTAL & CO., L.L.C.
October 19, 1988 - February 21, 1989
KIDDER, PEABODY & CO. INCORPORATED
August 23, 1988 - September 16, 1988
CABRERA CAPITAL MARKETS, LLC
April 24, 1986 - August 30, 1988
CHARLES SCHWAB & CO., INC.
February 21, 1985 - May 9, 1986
ADVEST, INC.
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
ODD LOT BONDS, INC
CRD#: 43033 / SEC#: , 8-50125
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
