Lindsey G. Vaughan

HILLMAN CAPITAL MANAGEMENT

Bethesda, MD 20814

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CRD#: 2466406

Professional summary

Lindsey Griffith Vaughan is a registered financial advisor currently at HILLMAN CAPITAL MANAGEMENT INC located in Bethesda, Maryland and ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Lindsey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Lindsey has worked at 14 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

HILLMAN CAPITAL MANAGEMENT, INVESTMENT RELATED, 7255 WOODMONT AVE SUITE 260 BETHESDA MD 20814, INVESTMENT MANAGEMENT, MD BUSINESS DEVELOPMENT, 02/03/2021, 160 HRS/MON, 130 HRS/MON DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lindsey Griffith Vaughan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 31, 2019 - Present

HILLMAN CAPITAL MANAGEMENT INC

Office #1: 7255 Woodmont Avenue Suite 260, Bethesda, MD 20814

RIA

CRD#: 110096

Bethesda, MD

Current

March 5, 2021 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203

CRD#: 16853

Denver, CO

Past

May 17, 2017 - May 23, 2018

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

January 5, 2015 - May 18, 2015

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

November 22, 2013 - December 31, 2014

UNIFIED FINANCIAL SECURITIES, LLC

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

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.

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

CRD#: 7325

BOSTON, MA

Past

February 23, 2001 - October 23, 2001

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

NEW YORK, NY

Past

June 22, 1994 - October 23, 2001

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HILLMAN CAPITAL MANAGEMENT INC

CRD#: 110096 / SEC#: 801-57921

RIA

Registered Investment Advisory firm - (9/12/2000 Approved)

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.

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

Alabama
(5/12/2021)

Alaska
(5/17/2021)

Arizona
(5/17/2021)

Arkansas
(5/12/2021)

California
(5/13/2021)

Colorado
(5/12/2021)

Connecticut
(5/12/2021)

Delaware
(5/13/2021)

District of Columbia
(5/13/2021)

Florida
(5/13/2021)

Georgia
(5/13/2021)

Hawaii
(5/13/2021)

Idaho
(5/12/2021)

Illinois
(5/18/2021)

Indiana
(5/13/2021)

Iowa
(5/17/2021)

Kansas
(5/28/2021)

Kentucky
(5/12/2021)

Louisiana
(5/17/2021)

Maine
(5/13/2021)

IAR

Maryland
(10/31/2019)

Maryland
(5/12/2021)

Massachusetts
(5/11/2021)

Michigan
(5/14/2021)

Minnesota
(5/13/2021)

Mississippi
(5/12/2021)

Missouri
(5/12/2021)

Montana
(5/13/2021)

Nebraska
(6/24/2021)

Nevada
(5/21/2021)

New Hampshire
(5/12/2021)

New Jersey
(6/23/2021)

New Mexico
(5/13/2021)

New York
(5/14/2021)

North Carolina
(5/12/2021)

North Dakota
(5/17/2021)

Ohio
(5/12/2021)

Oklahoma
(5/13/2021)

Oregon
(5/13/2021)

Pennsylvania
(5/13/2021)

Rhode Island
(5/12/2021)

South Carolina
(5/13/2021)

South Dakota
(6/17/2021)

Tennessee
(6/3/2021)

Texas
(5/17/2021)

Utah
(5/12/2021)

Vermont
(5/12/2021)

Virginia
(5/13/2021)

Washington
(5/12/2021)

Wisconsin
(5/12/2021)

Wyoming
(5/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

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

SIE

Date: 5/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/6/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HILLMAN CAPITAL MANAGEMENT INC

CRD#: 110096 / SEC#: 801-57921

RIA

Registered Investment Advisory firm - (9/12/2000 Approved)

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Contact information

Main Address

7255 Woodmont Avenue Suite 260, Bethesda, MD 20814

Mailing Address

Phone number

(240) 744-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HCM FORM ADV PART 2A AND 2B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 308,016,202

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.

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Advisor Monitoring

Firm Stability Insights

Lindsey G. Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lindsey Griffith Vaughan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

CAPITAL INVESTMENT GROUP, INC.

QUASAR DISTRIBUTORS, LLC

UNIFIED FINANCIAL SECURITIES, LLC

TCW INVESTMENT MANAGEMENT COMPANY LLC

TCW FUNDS DISTRIBUTORS LLC

BOFA ADVISORS, LLC

COLUMBIA MANAGEMENT ADVISORS, INC.

BOFA DISTRIBUTORS, INC.

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

NEUBERGER BERMAN MANAGEMENT LLC

NEUBERGER BERMAN BD LLC

Primary Firm SEC Registration

HILLMAN CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/2021

Series 65

Date: 7/12/1994

SIE

Date: 5/23/2018

Series 7

Date: 5/6/1994

FINRA

Current Firm

HILLMAN CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLMAN CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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