Rita A. 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.
Rita Ann Vaughan, who also goes by Rita Ann Corneal, Rita A Vaughan, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 1993. Rita had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - July 19, 2013
QUESTAR ASSET MANAGEMENT, INC.
January 3, 2011 - July 19, 2013
QUESTAR CAPITAL CORPORATION
July 3, 2007 - December 17, 2010
GROVE POINT INVESTMENTS, LLC
June 18, 2007 - December 17, 2010
GROVE POINT INVESTMENTS, LLC
December 6, 2002 - July 3, 2007
AMERITAS INVESTMENT COMPANY, LLC
April 1, 2002 - July 3, 2007
AMERITAS INVESTMENT COMPANY, LLC
March 14, 2000 - April 3, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 25, 1993 - March 6, 2000
AMERICAN GENERAL EQUITY SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
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.
