John J. Vaughan

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CRD#: 1495636

Professional summary

John Joseph Vaughan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, John had worked at 10 firms, which includes HFP CAPITAL MARKETS LLC, CHARLES MORGAN SECURITIES INC., ICICI SECURITIES INC., THE CONCORD EQUITY GROUP LLC, EASTBROOK CAPITAL GROUP LLC, JOSEPH GUNNAR & CO. LLC, GLENN MICHAEL FINANCIAL INC., WEST AMERICA SECURITIES CORP, VAUGHAN AND COMPANY SECURITIES INC., ANCHOR NATIONAL FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

John Vaughan

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

July 11, 2011 - April 1, 2013

HFP CAPITAL MARKETS LLC

CRD#: 44351

NEW YORK, NY

Past

July 28, 2010 - July 8, 2011

CHARLES MORGAN SECURITIES, INC.

CRD#: 138887

NEW YORK, NY

Past

October 1, 2008 - February 19, 2010

ICICI SECURITIES INC.

CRD#: 104285

SINGAPORE,

Past

August 7, 2007 - September 23, 2008

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

August 10, 2006 - August 6, 2007

EASTBROOK CAPITAL GROUP LLC

RIA

CRD#: 39781

NEW YORK, NY

Past

May 17, 2000 - August 6, 2007

EASTBROOK CAPITAL GROUP LLC

CRD#: 39781

NEW YORK, NY

Past

October 9, 1997 - May 12, 2000

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

August 15, 1997 - October 17, 1997

GLENN MICHAEL FINANCIAL, INC.

CRD#: 37912

MELVILLE, NY

Past

February 4, 1997 - August 6, 1997

WEST AMERICA SECURITIES CORP

CRD#: 35035

LAS VEGAS, NV

Past

July 9, 1987 - January 27, 1997

VAUGHAN AND COMPANY SECURITIES, INC.

CRD#: 18826

RIDGEWOOD, NJ

Past

May 21, 1986 - December 18, 1986

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

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

IAR

Series 65

Date: 8/4/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/13/1993

General Securities Principal Examination

Current Firm

HFP CAPITAL MARKETS LLC

AM CAPITAL LLC | HFP CAPITAL MARKETS LLC

CRD#: 44351 / SEC#: , 8-50652

Terminated by SEC on 05/02/2014

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 11/20/1997

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
HUDSON FINANCIAL PARTNERS, LLC	PARENT COMPANY
BYRUCH, GEOFFREY MARC	MANAGING MEMBER/CEO	3220744
HERITY, THOMAS FRANCIS	CCO
MISYURA, YEVGENY	FINOP	5312791

Disclosures

Regulatory Event	7
Arbitration	1

Red Flags

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John J. Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES MORGAN SECURITIES, INC.

ICICI SECURITIES INC.

THE CONCORD EQUITY GROUP, LLC

EASTBROOK CAPITAL GROUP LLC

EASTBROOK CAPITAL GROUP LLC

JOSEPH GUNNAR & CO. LLC

GLENN MICHAEL FINANCIAL, INC.

WEST AMERICA SECURITIES CORP

VAUGHAN AND COMPANY SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2006

Series 63

Date: 4/3/1997

Series 7

Date: 5/17/1986

Series 24

Date: 1/13/1993

Current Firm

HFP CAPITAL MARKETS LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HFP CAPITAL MARKETS LLC

TRUST BUT VERIFY

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