Robert R. Vaughn
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.
Robert Ronald Vaughn was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2014 - January 9, 2024
AW SECURITIES
November 10, 2014 - January 9, 2024
AW SECURITIES
November 10, 2014 - January 9, 2024
ALLWORTH FINANCIAL, L.P.
September 3, 2002 - January 14, 2014
E*TRADE CLEARING LLC
September 17, 1997 - September 3, 2002
E*TRADE SECURITIES LLC
October 11, 1995 - February 4, 1997
ESSEX NATIONAL SECURITIES, LLC
April 23, 1994 - October 25, 1994
WELLS FARGO SECURITIES INC.
January 9, 1991 - June 28, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
| TAYLOR, KRISTIAN LEIGH | VICE PRESIDENT- OPERATIONS | 4163800 |
Red Flags
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