Shawn M. Vaughan
Professional summary
Shawn Matthew Vaughan, CFP® is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Houston, Texas.
Shawn is registered as a RR (Registered Representative) and started their career in finance in 1994. Shawn has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shawn Matthew Vaughan's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 27, 2016 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
Office #1: 845 Texas Avenue Suite 3300, Houston, TX 77002September 5, 2000 - September 20, 2016
INLAND SECURITIES CORPORATION
January 27, 1999 - August 8, 2000
WELLS INVESTMENT SECURITIES,INC.
September 30, 1994 - February 21, 1997
IFG NETWORK SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/27/2016)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145 / SEC#: , 8-66096
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
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Company Information
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145Houston, TX 77002TRUST BUT VERIFY
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