Richard L. Vaughan
Professional summary
Richard Leigh Vaughan JR is a registered financial professional currently at MAXIM GROUP LLC located in Red Bank, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Leigh Vaughan JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2005 - Present
MAXIM GROUP LLC
Office #1: 68 White Street 2nd Floor, Red Bank, NJ 07701October 29, 2004 - August 25, 2005
UBS SECURITIES LLC
September 9, 2002 - November 1, 2004
UBS CAPITAL MARKETS L.P.
December 1, 1999 - August 26, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 1, 1999 - November 19, 1999
WELLS FARGO CLEARING SERVICES, LLC
January 5, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 25, 1996 - January 14, 1998
SUMMIT INVESTMENT GROUP, INC.
February 6, 1995 - July 10, 1996
INVESTACORP, INC.
February 26, 1993 - February 28, 1995
PENN CAPITAL FINANCIAL SERVICES, INC.
November 16, 1992 - March 8, 1993
L.C. WEGARD & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/16/2007)
(11/1/2005)
(2/6/2007)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/12/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
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.
