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LV

Lindsey G. Vaughan

MGI FUNDS DISTRIBUTORS
Boston, MA 02110
Some features on this profile are disabled
CRD#: 2466406
LV
Lindsey Griffith VaughanMGI FUNDS DISTRIBUTORS

Professional summary

Lindsey Griffith Vaughan, who also goes by Lindsey Vaughan, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.

Lindsey is registered as a RR (Registered Representative) and started their career in finance in 1994. Lindsey has worked at 15 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Aliases

Lindsey 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lindsey Griffith 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®
None

Experience

Current

July 22, 2026 - Present

MGI FUNDS DISTRIBUTORS, LLC

Office #1: 99 High Street, Boston, MA 02110
BD
CRD#: 35682
Boston, MA
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.

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
California
(7/22/2026)
RR
Florida
(7/23/2026)
RR
Georgia
(7/23/2026)
RR
Idaho
(7/22/2026)
RR
Kansas
(7/23/2026)
RR
Missouri
(7/22/2026)
RR
Montana
(7/22/2026)
RR
Nebraska
(7/23/2026)
RR
New Hampshire
(7/24/2026)
RR
Ohio
(7/22/2026)
RR
Pennsylvania
(7/23/2026)
RR
Tennessee
(7/23/2026)
RR
Texas
(7/23/2026)
RR
Utah
(7/22/2026)
RR
Wisconsin
(7/22/2026)

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
SRO Registrations
RR
FINRA

Current Firm

MF
MGI FUNDS DISTRIBUTORS, LLC
MGI FUNDS DISTRIBUTORS, INC. | OFFIT FUNDS DISTRIBUTOR, INC. | MGI FUNDS DISTRIBUTORS, LLC

CRD#: 35682 / SEC#: , 8-46960

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

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS LLCDIRECTOR OWNER/SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENECHIEF COMPLIANCE OFFICER / VP / TREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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

MGI FUNDS DISTRIBUTORS, LLC

CRD#: 35682Boston, MA 02110

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