JV
Jon C. Vaughan
TRI-STAR ADVISORS
Houston, TX 77057
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CRD#: 2449905
JV
Professional summary
Jon Carter Vaughan, who also goes by Jon C. Vaughan, is a registered financial advisor currently at TRI-STAR ADVISORS, INC. located in Houston, Texas and CALTON & ASSOCIATES, INC. located in Houston, Texas.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jon has worked at 5 firms and has passed the Series 63, Series 72, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon C. 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.
No. 1) Name of Business: B&V Developers. Non-investment related. Address: Rifle Colorado, CO 81650. Nature of Business: Real Estate Holdings. Position/Title/Relationship: Investor. Start Date: 06/2005. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Passive Investment. No. 2) Name of Business: TRI-STAR GROUP. Investment related. Address: 5718 Westheimer Rd. Suite 950, Houston, TX 77057. Nature of Business: DBA Securities Marketing for Securities. Position/Title/Relationship: Officer. Start Date: 01/01/2015. Hours per month: 35. Hours per month during Securities trading hours: 35. Duties/Responsibilities: Registered representative/Securities marketing for securities. No. 3) Name of Business: TRI-STAR ADVISORS INC. Investment related. Address: 5718 Westheimer Rd. Suite 950. Houston, TX 77057. Nature of Business: Investment Advisor Representative for Registered Investment Advisory Firm. Position/Title/Relationship: Partner. Start Date: 07/15/2009. Hours per month: 80. Hours per month during Securities trading hours: 80. Duties/Responsibilities: Investment advisor representative. No. 4) Name of Business: CNACV, LLC. Non-Investment related. Address: 5718 Westheimer, Ste 950, Houston, TX 77008. Nature of Business: Accounting mechanism for bill paying. Position/Title/Relationship: Partner. Start Date: 12/31/2014. Hours per month: 1. Hours per month during securities trading hours: 0.
CRS (Client Relationship Summary) - RIA
Click below to view Jon Carter 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
July 15, 2009 - Present
TRI-STAR ADVISORS, INC.
Office #1: 5718 Westheimer Suite 950a, Houston, TX 77057RIA
CRD#: 149760
Houston, TX
Current
November 14, 2014 - Present
CALTON & ASSOCIATES, INC.
Office #1: 5718 Westheimer Suite 950 A, Houston, TX 77057RIA
BD
CRD#: 20999
Houston, TX
Past
May 11, 2009 - November 23, 2010
PARALLAX INVESTMENTS, LLC
RIA
CRD#: 114924
HOUSTON, TX
Past
April 3, 1995 - March 9, 2015
TRI-STAR FINANCIAL
BD
CRD#: 32458
HOUSTON, TX
Past
February 23, 1994 - September 26, 1994
MURCHISON INVESTMENT BANKERS, INC.
BD
CRD#: 20027
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/18/2024)
RR
Colorado(2/18/2015)
RR
Georgia(3/25/2015)
RR
Illinois(2/9/2015)
RR
Kansas(3/27/2015)
IAR
Louisiana(9/6/2023)
RR
Nevada(3/19/2015)
RR
New York(2/9/2015)
RR
North Carolina(3/2/2015)
RR
Ohio(1/2/2020)
RR
Pennsylvania(2/10/2015)
RR
South Dakota(3/5/2015)
IAR
Texas(7/15/2009)
RR
Texas(2/6/2015)
RR
Virginia(1/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRI-STAR ADVISORS, INC.
TRI-STAR ADVISORS INC. | TRI-STAR ADVISORS, INC.
CRD#: 149760 / SEC#: 801-70769
RIA
Registered Investment Advisory firm - (6/21/2023 Terminated)Louisiana
Registered Investment Advisory firm - (9/6/2023 Approved)Texas
Registered Investment Advisory firm - (6/12/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5718 Westheimer Suite 950a, Houston, TX 77057
Mailing Address
Phone number
(713) 735-9200
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 134 |
| AUM (Assets Under Management) | $ 56,702,564 |
Red Flags
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