SV
Stevan M. Vaughan
FINANCIAL COUNSELING
SPRINGBORO, OH 45066
Some features on this profile are disabled
CRD#: 2488424
SV
Professional summary
Stevan Michael Vaughan, who also goes by Steve Vaughan, is a registered financial advisor currently at FINANCIAL COUNSELING, INC. located in Springboro, Ohio.
Stevan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Stevan has worked at 6 firms and has passed the Series 66, SIE, Series 62, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve 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.
1. FINANCIAL COUNSELING, INC; 582 N MAIN ST., SPRINGBORO, OH 45066; REGISTERED INVESTMENT ADVISOR; PRESIDENT - OWNER, INVESTMENT ADVISOR REPRESENTATIVE; CORPORATION; 190 PER MONTH SPENT ON THIS ACTIVITY/90% DURING TRADING HOURS. 2. Springboro Office Park Owner's Association; 10554 Success Lane, Suite D, Centerville, OH 45458; Secretary/Treasurer; 1 hour per quarter spent on this activity/ 0% during trading. 3.CLEARCREEK CHAPEL; 2738 PENNYROYAL RD, MIAMISBURG, OH 45342; ELDER/PASTOR - FINANCE AND STEWARDSHIP(PASTOR OF FINANCE); NON-PROFIT 501 C-3; 20 HOURS PER MONTH SPENT ON THIS ACTIVITY/0% DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Stevan Michael 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®
NoneExperience
Current
June 6, 2003 - Present
FINANCIAL COUNSELING, INC.
Office #1: 582 North Main Street, Springboro, OH 45066RIA
CRD#: 119969
SPRINGBORO, OH
Past
October 24, 2013 - October 19, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
SPRINGBORO, OH
Past
June 24, 2008 - October 24, 2013
FINTEGRA, LLC
BD
CRD#: 16741
SPRINGBORO, OH
Past
July 1, 2004 - July 1, 2008
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SPRINGBORO, OH
Past
June 21, 1999 - July 1, 2004
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
December 17, 1996 - June 17, 1999
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
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".
FC
FINANCIAL COUNSELING, INC.
FINANCIAL COUNSELING, INC.
CRD#: 119969 / SEC#: 801-114518
RIA
Registered Investment Advisory firm - (1/28/2019 Approved)California
Registered Investment Advisory firm - (3/11/2019 Terminated)Florida
Registered Investment Advisory firm - (2/13/2019 Terminated)Georgia
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (2/13/2019 Terminated)Texas
Registered Investment Advisory firm - (2/13/2019 Terminated)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.Highlighted states indicate IAR registrations
IAR
Ohio(6/6/2003)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/19/1999
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FC
FINANCIAL COUNSELING, INC.
FINANCIAL COUNSELING, INC.
CRD#: 119969 / SEC#: 801-114518
RIA
Registered Investment Advisory firm - (1/28/2019 Approved)California
Registered Investment Advisory firm - (3/11/2019 Terminated)Florida
Registered Investment Advisory firm - (2/13/2019 Terminated)Georgia
Registered Investment Advisory firm - (3/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (2/13/2019 Terminated)Texas
Registered Investment Advisory firm - (2/13/2019 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
582 N. Main St., Springboro, OH 45066
Mailing Address
Phone number
(937) 748-8710
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 672 |
| AUM (Assets Under Management) | $ 92,404,000 |
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.
