Vaughn S. Mcguire
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 Smith Mcguire, who also goes by Mike Mcguire III, Vaughn S Mcguire, Vaughn Smith Mcguire, was a registered financial professional .
Vaughn is a previously registered financial professional and started their career in finance in 1990. Vaughn had worked at 12 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2013 - October 1, 2013
KEY INVESTMENT SERVICES LLC
July 31, 2013 - October 1, 2013
KEY INVESTMENT SERVICES LLC
September 14, 2010 - July 5, 2013
U.S. BANCORP INVESTMENTS, INC.
September 14, 2010 - July 5, 2013
U.S. BANCORP INVESTMENTS, INC.
January 4, 2008 - September 14, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 21, 2007 - September 14, 2010
TD AMERITRADE, INC.
December 21, 2007 - September 14, 2010
TD AMERITRADE, INC.
April 5, 2007 - December 5, 2007
PHILLIPS & COMPANY
April 19, 2004 - May 25, 2006
PAULSON INVESTMENT COMPANY LLC
February 10, 2004 - April 6, 2004
PHILLIPS & COMPANY
January 2, 2001 - March 9, 2001
WILLAMETTE SECURITIES, INC.
June 23, 1994 - February 19, 2003
PHILLIPS & COMPANY
October 6, 1993 - July 20, 1994
SENTRA SECURITIES CORPORATION
April 1, 1993 - November 9, 1993
GLOBAL STRATEGIES GROUP, INC.
September 2, 1992 - February 26, 1993
GRUNTAL & CO., L.L.C.
June 18, 1992 - August 20, 1992
GLOBAL STRATEGIES GROUP, INC.
February 25, 1992 - June 17, 1992
REYNOLDS KENDRICK STRATTON, INC.
August 27, 1990 - December 3, 1991
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
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
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYBANC CAPITAL MARKETS INC. | SOLE OWNER | 566 |
| CALABRESE, GIUSEPPE NMN | CO-CEO/PRESIDENT | 5013231 |
| DOUCE, MARK IVAN | CHIEF COMPLIANCE OFFICER | 2959137 |
| GULLA, MATTHEW TODD | CHIEF ADMINISTRATIVE OFFICER | 3040637 |
| HOTZ, BURTON BRUCE NICHOLAS | CHIEF RISK OFFICER | 3025138 |
| JANOFSKY, PAULA MARIE | OPERATIONS OFFICER | 2882776 |
| KOVACHICK, MARK ALLAN | CHIEF FINANCIAL OFFICER/DIRECTOR | 5390571 |
| SCHMIDT, SOLOMON LEE | CO-CEO/PRESIDENT | 4404279 |
| SKARDA, JOSEPH BRIEL | HEAD OF KEY WEALTH MANAGEMENT | 4288186 |
| THEBERGE, JONATHAN MARC | CHIEF OPERATIONS OFFICER | 7722891 |
| WEICK, PAUL ALFRED II | CHIEF LEGAL OFFICER | 2286289 |
Regulatory assets under management
| Total Number of Accounts | 27,533 |
| AUM (Assets Under Management) | $ 6,107,213,206 |
Disclosures
| Regulatory Event | 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.
