DV
David P. Vaughan
AVIOR WEALTH MANAGEMENT
THE WOODLANDS, TX 77380
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CRD#: 1832513
DV
Professional summary
David Paul Vaughan is a registered financial advisor currently at AVIOR WEALTH MANAGEMENT, LLC located in The Woodlands, Texas.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. David has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. INSURANCE AGENT - SAME ADDRESS, INVESTMENT RELATED, START DATE: 1996, HOURS/MO: 75, DURING TRADING HOURS. 2.. PALATIOS PARTNERS, PALATIOS PARTNERS II, 3MVP LLC, BAY BREEZE LLC - LIMITED PARTNERSHIPS AND GENERAL PARTNER MEMBERS, PERSONAL REAL ESTATE TRANSACTIONS, INVESTMENT RELATED, SAME ADDRESS, START DATE: 2006 & 2008, HOURS/MO: 5, MAY BE DURING TRADING HOURS. 3. WOODLANDS SECURITIES CORP. 10655 SIX OINES DRIVE, STE. 100, THE WOODLANDS, TX 77380. INVESTMENT RELATED, START DATE 1995, HOURS/MO: 20, DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view David Paul 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®
NoneExperience
Current
October 4, 2022 - Present
AVIOR WEALTH MANAGEMENT, LLC
Office #1: 10655 Six Pines Drive Suite 100, The Woodlands, TX 77380RIA
CRD#: 148674
THE WOODLANDS, TX
Past
September 25, 1995 - October 5, 2022
WOODLANDS ASSET MANAGEMENT INC
RIA
CRD#: 108122
THE WOODLANDS, TX
Past
September 18, 1995 - December 31, 2024
NAVIGATOR SECURITIES LIMITED
BD
CRD#: 22373
THE WOODLANDS, TX
Past
May 28, 1991 - October 2, 1995
HART SECURITIES, INC.
BD
CRD#: 28389
HOUSTON, TX
Past
May 11, 1988 - May 13, 1991
MURCHISON INVESTMENT BANKERS, INC.
BD
CRD#: 20027
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".
AW
AVIOR WEALTH MANAGEMENT, LLC
AGATE ASSET MANAGEMENT, LLC | VERDANT WEALTH MANAGEMENT | VERDANT GROUP, LLC | SC FINANCIAL SERVICES | NELSON, VAN DENBURG & CAMPBELL WEALTH MANAGEMENT GROUP, LLC | NELSON - VAN DENBURG & ASSOCIATES, LLC | NELSON - VAN DENBURG & ASSOCIATES | LIFESTAGE WEALTH MANAGEMENT | CORPUS CAPITAL MANAGEMENT | AVIOR WEALTH MANAGEMENT, LLC
CRD#: 148674 / SEC#: 801-69773
RIA
Registered Investment Advisory firm - (12/4/2008 Approved)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
Louisiana(10/4/2022)
IAR
Texas(10/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AW
AVIOR WEALTH MANAGEMENT, LLC
AGATE ASSET MANAGEMENT, LLC | VERDANT WEALTH MANAGEMENT | VERDANT GROUP, LLC | SC FINANCIAL SERVICES | NELSON, VAN DENBURG & CAMPBELL WEALTH MANAGEMENT GROUP, LLC | NELSON - VAN DENBURG & ASSOCIATES, LLC | NELSON - VAN DENBURG & ASSOCIATES | LIFESTAGE WEALTH MANAGEMENT | CORPUS CAPITAL MANAGEMENT | AVIOR WEALTH MANAGEMENT, LLC
CRD#: 148674 / SEC#: 801-69773
RIA
Registered Investment Advisory firm - (12/4/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14301 First National Bank Parkway Suite 410, Omaha, NE 68154
Mailing Address
Phone number
(402) 218-4064
Established
Firm type
Fiscal year end
# of Employees
201
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,385 |
| AUM (Assets Under Management) | $ 5,083,670,234 |
Red Flags
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Company Information
AVIOR WEALTH MANAGEMENT, LLC
CRD#: 148674The Woodlands, TX 77380TRUST BUT VERIFY
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