Richard A. Vaughan

401K ADVISORY GROUP

Dahlonega, GA

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CRD#: 1597645

Professional summary

Richard Allen Vaughan, who also goes by Richard Allen Vayghan, is a registered financial advisor currently at 401K ADVISORY GROUP, INC. located in Dahlonega, Georgia.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Richard has worked at 13 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Allen Vayghan

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) - RIA

Click below to view Richard Allen Vaughan's 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

March 6, 2024 - Present

401K ADVISORY GROUP, INC.

RIA

CRD#: 152290

Dahlonega, GA

Past

May 13, 2019 - December 31, 2023

401K ADVISORY GROUP, INC.

RIA

CRD#: 152290

DAHLONEGA, GA

Past

January 5, 2010 - December 31, 2017

401K ADVISORY GROUP, INC.

RIA

CRD#: 152290

SANDY SPRINGS, GA

Past

February 11, 2005 - November 11, 2009

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

ATLANTA, GA

Past

February 10, 2005 - November 11, 2009

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ATLANTA, GA

Past

May 11, 2004 - December 31, 2004

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

ATLANTA, GA

Past

May 11, 2004 - December 31, 2004

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

January 20, 2004 - May 17, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ATLANTA, GA

Past

May 6, 2003 - May 17, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 18, 2002 - May 16, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 17, 2000 - February 20, 2002

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

December 7, 1998 - May 5, 2000

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

May 15, 1997 - April 24, 1998

NICHOLAS-APPLEGATE SECURITIES LLC

CRD#: 31205

SAN DIEGO, CA

Past

August 2, 1993 - May 19, 1997

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

October 31, 1990 - September 19, 1991

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 3, 1989 - March 12, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 14, 1988 - January 17, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 7, 1987 - September 2, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(3/6/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/16/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/17/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Current Firm

401K ADVISORY GROUP, INC.

401K ADVISORY GROUP, INC. | INTEGRATIVE BENEFITS

CRD#: 152290 / SEC#:

Georgia

Registered Investment Advisory firm - (3/6/2024 Approved)

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Contact information

Main Address

Sandy Springs, GA

Mailing Address

Phone number

(404) 441-0064

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 205,000

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.

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Advisor Monitoring

Firm Stability Insights

Richard A. Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Allen Vaughan's CRS (Customer Relationship Summary).

Certified licenses

Experience

401K ADVISORY GROUP, INC.

401K ADVISORY GROUP, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CHARLES SCHWAB & CO., INC.

CITISTREET EQUITIES LLC

VOYA FINANCIAL PARTNERS, LLC

NICHOLAS-APPLEGATE SECURITIES LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CAPITAL BROKERAGE CORPORATION

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2004

Series 63

Date: 2/17/1988

Series 7

Date: 12/20/1986

Current Firm

401K ADVISORY GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

401K ADVISORY GROUP, INC.

TRUST BUT VERIFY

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