Vaughn M. Mungin
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.
Vaughn Miles Mungin was a registered financial professional .
Vaughn is a previously registered financial professional and started their career in finance in 1986. Vaughn had worked at 12 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2001 - April 1, 2002
LOMBARD SECURITIES INCORPORATED
October 20, 1998 - August 31, 2001
THE CHAPMAN CO.
June 4, 1998 - June 10, 1998
MCCRACKEN ADVISORY PARTNERS CORPORATION
March 11, 1997 - April 16, 1998
JEFFERSON GERSCH, INC.
March 14, 1995 - May 30, 1995
HALPERT AND COMPANY, INC.
February 23, 1995 - February 28, 1995
W.J. NOLAN & COMPANY, INC.
September 29, 1993 - December 12, 1994
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
March 16, 1991 - June 5, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 1989 - June 29, 1990
FIDELITY BROKERAGE SERVICES LLC
July 1, 1987 - November 9, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
October 9, 1986 - February 25, 1987
J. W. GANT & ASSOCIATES, INC.
August 8, 1986 - October 14, 1986
NORBAY SECURITIES 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
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 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.
