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LV

Lindsey G. Vaughan

CRD#: 2466406
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LV
Lindsey Griffith Vaughan

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.

Lindsey Griffith Vaughan was a registered financial professional .

Lindsey is a previously registered financial professional and started their career in finance in 1994. Lindsey had worked at 14 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 5, 2021 - June 12, 2026

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

October 31, 2019 - June 1, 2026

HILLMAN CAPITAL MANAGEMENT INC

RIA
CRD#: 110096
BETHESDA, MD
Past

May 17, 2017 - May 23, 2018

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
RALEIGH, NC
Past

January 5, 2015 - May 18, 2015

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

November 22, 2013 - December 31, 2014

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN
Past

January 16, 2007 - August 9, 2013

TCW INVESTMENT MANAGEMENT COMPANY LLC

RIA
CRD#: 106546
LOS ANGELES, CA
Past

September 15, 2006 - August 9, 2013

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

April 29, 2005 - September 20, 2005

BOFA ADVISORS, LLC

RIA
CRD#: 107900
BOSTON, MA
Past

November 12, 2004 - April 29, 2005

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA
CRD#: 105842
BOSTON, MA
Past

November 12, 2004 - September 20, 2005

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

January 17, 2002 - August 9, 2004

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

January 15, 2002 - August 9, 2004

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

February 23, 2001 - October 23, 2001

NEUBERGER BERMAN MANAGEMENT LLC

BD
CRD#: 5493
NEW YORK, NY
Past

June 22, 1994 - October 23, 2001

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/10/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/12/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/23/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/6/1994
General Securities Representative Examination

Current Firm

AD
ALPS DISTRIBUTORS, INC.
ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1290 Broadway Suite 1000, Denver, CO 80203
Mailing Address
1290 Broadway Suite 1000, Denver, CO 80203
Phone number
(303) 623-2577
Established
Colorado since 07/01/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ALPS HOLDINGS, INC.PARENT
KYLLO, STEPHEN JOHNSVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER3204474
NECKEL, TARA JILLVP, DEPUTY CHIEF COMPLIANCE OFFICER4051739
PARSONS, ERIC TFINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER5215115

Disclosures

Regulatory Event4

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.

Company Information

ALPS DISTRIBUTORS, INC.

CRD#: 16853

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