Thomas E. Vaughan

RETIREMENT CAPITAL STRATEGIES

San Jose, CA 95129

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CRD#: 1721660

Professional summary

Thomas Earl Vaughan, who also goes by Tom Earl Vaughan, Tom Vaughan, is a registered financial advisor currently at RETIREMENT CAPITAL STRATEGIES, INC. located in San Jose, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Thomas has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Earl Vaughan | Tom 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.

1. 04/07/2016 * Retirement Capital Strategies * DBA for LPL Business (entity for LPL business) * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 12/31/2015 * 160 HRS/MO; 40 HRS/MO DURING SECS TRDG. HRS. 2. 10/17/2017 - Retirement Capital Strategies, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 03/21/2016 - 160 Hours Per Month/80 Hours During Securities Trading - I provide investment advisory services through Retirement Capital Strategies, Inc., an independent investment advisor firm. I started this business activity in October 2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Earl Vaughan'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

March 22, 2016 - Present

RETIREMENT CAPITAL STRATEGIES, INC.

Office #1: 1190 Saratoga Ave., Suite 140, San Jose, CA 95129

RIA

CRD#: 139009

San Jose, CA

Past

October 6, 2015 - July 25, 2018

LPL FINANCIAL LLC

CRD#: 6413

SAN JOSE, CA

Past

April 19, 2006 - October 10, 2013

RETIREMENT CAPITAL STRATEGIES, INC.

RIA

CRD#: 139009

SAN JOSE, CA

Past

December 31, 1997 - October 7, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN JOSE, CA

Past

August 24, 1990 - October 25, 2013

LPL FINANCIAL LLC

CRD#: 6413

SAN JOSE, CA

Past

August 10, 1987 - August 28, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RETIREMENT CAPITAL STRATEGIES, INC.

BLUE WAVE INVESTING | RETIREMENT CAPITAL STRATEGIES, INC.

CRD#: 139009 / SEC#: 801-70918

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

California

Registered Investment Advisory firm - (1/27/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(3/22/2016)

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

Series 63

Date: 3/2/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/6/1991

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/7/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/20/1991

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/21/1990

Investment Company Products/Variable Contracts Principal Examination

Current Firm

RETIREMENT CAPITAL STRATEGIES, INC.

BLUE WAVE INVESTING | RETIREMENT CAPITAL STRATEGIES, INC.

CRD#: 139009 / SEC#: 801-70918

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

California

Registered Investment Advisory firm - (1/27/2010 Terminated)

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Contact information

Main Address

1190 Saratoga Ave., Suite 140, San Jose, CA 95129

Mailing Address

Phone number

(408) 551-6100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT CAPITAL STRATEGIES FORM ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	655
AUM (Assets Under Management)	$ 295,517,793

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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Firm Stability Insights

Thomas E. Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Earl Vaughan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

RETIREMENT CAPITAL STRATEGIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

RETIREMENT CAPITAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/2/1990

SIE

Date: 7/25/2018

Series 7

Date: 2/6/1991

Series 6

Date: 8/7/1987

Series 24

Date: 6/20/1991

Series 26

Date: 8/21/1990

Current Firm

RETIREMENT CAPITAL STRATEGIES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT CAPITAL STRATEGIES, INC.

TRUST BUT VERIFY

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