Andrew B. Vaughey
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.
Andrew Barrett Vaughey was a registered financial advisor .
Andrew is a previously registered financial advisor and started their career in finance in 1995. Andrew had worked at 6 firms and has passed the Series 65, 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
August 6, 2003 - February 17, 2004
VAUGHEY CONSULTING GROUP, INC.
May 14, 2002 - February 26, 2003
BOFA DISTRIBUTORS, INC.
April 17, 2000 - May 10, 2002
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 19, 1999 - April 12, 2000
DWS DISTRIBUTORS, INC.
September 3, 1997 - October 10, 1997
U.S. BANCORP INVESTMENTS, INC.
January 3, 1995 - September 3, 1997
U.S. BANCORP SECURITIES
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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