Roderick M. Vaughn

CFD INVESTMENTS

Fairfield, IL 62837

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CRD#: 1392519

Professional summary

Roderick Montgomery Vaughn, who also goes by Roderick M Vaughn, is a registered financial professional currently at CFD INVESTMENTS, INC. located in Fairfield, Illinois.

Roderick is registered as a RR (Registered Representative) and started their career in finance in 1985. Roderick has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roderick M Vaughn

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) - BD

Click below to view Roderick Montgomery Vaughn's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 2, 2014 - Present

CFD INVESTMENTS, INC.

Office #1: 110 W Main St, Fairfield, IL 62837

CRD#: 25427

Fairfield, IL

Past

January 21, 1994 - October 30, 2013

INVESTMENT PLANNERS, INC.

CRD#: 18557

FAIRFIELD, IL

Past

January 1, 1992 - December 31, 1993

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

July 17, 1985 - August 1, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

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

Florida
(1/6/2025)

Illinois
(1/2/2014)

Indiana
(1/2/2014)

Kentucky
(1/2/2014)

Missouri
(1/2/2018)

Pennsylvania
(1/6/2021)

Exams

State Security Law Exam

Series 63

Date: 8/5/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/14/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CFD INVESTMENTS, INC.

CFD INVESTMENTS, INC. | CFD SECURITIES, INC.

CRD#: 25427 / SEC#: , 8-41727

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

2704 S Goyer Rd, Kokomo, IN 46902

Mailing Address

P.o. Box 2244, Kokomo, IN 46904-2244

Phone number

(765) 453-9600

Established

Indiana since 12/10/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BRAUN, BRIGIT R	OWNER	6585909
OWENS, BRENT ANTHONY	PRESIDENT/DIRECTOR	2261719
ROCKEY, BROOKE LEIGH	OWNER	4817176
THE OWENS FAMILY TRUST DATED 8/1/2017	OWNER
BAHRENBURG, MATTHEW O	CHIEF COMPLIANCE OFFICER	5295661
HALE, DANIEL KRIS	OWNER, VICE PRESIDENT, DIRECTOR	2649813
OWENS, MICKEY LEE	DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017	1437001
ROCKEY, CHRISTOPHER M	OWNER	5504531
ROOZE, KREGG JERROD	DIRECTOR, SECRETARY, TREASURER	3174063

Disclosures

Regulatory Event	8
Bond	1

Red Flags

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Firm Stability Insights

Roderick M. Vaughn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roderick Montgomery Vaughn's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT PLANNERS, INC.

WOODBURY FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/5/1991

SIE

Date: 10/1/2018

Series 7

Date: 7/22/1998

Series 6

Date: 6/14/1985

FINRA

Current Firm

CFD INVESTMENTS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CFD INVESTMENTS, INC.

TRUST BUT VERIFY

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