JV
Jeffrey B. Vaughn
SYNERGY INVESTMENT GROUP
KANNAPOLIS, NC 28083
CRD#: 2505687
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JV
Jeffrey Brett VaughnSYNERGY INVESTMENT GROUP
Professional summary
Jeffrey Brett Vaughn, who also goes by Jeff Vaughn, is a registered financial advisor currently at SYNERGY INVESTMENT GROUP, LLC located in Kannapolis, North Carolina and STONEX SECURITIES INC. located in Kannapolis, North Carolina.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Vaughn
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.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Brett Vaughn'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
August 16, 2012 - Present
SYNERGY INVESTMENT GROUP, LLC
Office #1: 708 Mclain Road, Kannapolis, NC 28083RIA
CRD#: 46035
KANNAPOLIS, NC
Current
February 17, 2012 - Present
STONEX SECURITIES INC.
Office #1: 708 Mclain Road, Kannapolis, NC 28083BD
CRD#: 18456
KANNAPOLIS, NC
Past
February 18, 2010 - March 6, 2012
SYNERGY INVESTMENT GROUP, LLC
RIA
CRD#: 46035
KANNAPOLIS, NC
Past
February 18, 2010 - March 7, 2012
SYNERGY INVESTMENT GROUP, LLC
BD
CRD#: 46035
KANNAPOLIS, NC
Past
June 13, 2008 - February 1, 2010
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
DAVIDSON, NC
Past
June 13, 2008 - February 1, 2010
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
DAVIDSON, NC
Past
December 13, 2007 - June 16, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
KANNAPOLIS, NC
Past
October 7, 2003 - June 16, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
KANNAPOLIS, NC
Past
October 1, 2000 - October 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 6, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
July 6, 1994 - October 25, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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.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
Alabama(7/16/2014)
RR
Florida(3/13/2012)
RR
Georgia(7/11/2014)
RR
Illinois(7/11/2014)
RR
Indiana(1/22/2024)
RR
Kentucky(1/6/2025)
RR
Maryland(1/9/2024)
RR
Massachusetts(11/20/2014)
RR
Minnesota(4/19/2013)
RR
Nebraska(4/25/2013)
RR
New Jersey(1/3/2024)
RR
New York(1/4/2024)
RR
North Carolina(3/6/2012)
IAR
North Carolina(8/16/2012)
RR
Oklahoma(1/8/2024)
RR
Oregon(1/17/2024)
RR
Pennsylvania(1/4/2024)
RR
South Carolina(3/13/2012)
RR
Texas(5/2/2013)
RR
Virginia(7/11/2014)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SYNERGY INVESTMENT GROUP, LLC
A.D. VALLETT & CO. | WHITLEY FINANCIAL, LLC | W. RALEIGH SEXTON JR., INC. | TAX & RETIREMENT PLANNING | SYNERGY WEALTH MANAGEMENT | SYNERGY INVESTMENT GROUP, LLC | SYNERGY BUSINESS ADVISORS, LLC | SYNERGY ADVISORY GROUP | STRATEGIC INVESTMENT DESIGNS | SANDEFER MAYO, LLC | RETIREMENT BY DESIGN | PENN NORTH FINANCIAL SERVICES | OVERSON TAX ADVISORY, INC. | OVERSON ADVISORY GROUP | OLD TOWNE FINANCIAL MANAGEMENT, INC. | OKLAHOMA FINANCIAL GROUP | MCCULLEY & WILKINSON, INC. | LBS FINANCIAL SERVICES, LLC | JOHN M. BLUMBERG, CPA, PC | INA TAX ADVISORS, INC. | HULSEY FINANCIAL SERVICES | HANEY & ALEXANDER INVESTMENT MANAGEMENT | FOX & FIN AND LIPSKI SECURITIES | DON E. SMITH CO. | DEVON FINANCIAL GROUP, LTD | COMPASS WEALTH MANAGEMENT | CLOUT, INC. | CHARTER FINANCIAL GROUP | BUFFALO SHIELD FINANCIAL PLANNING | BRIDGEDAL CAPITAL MANAGEMENT | AVELLAR ADVISORS, INC. | ARRIBA INVESTMENT MANAGEMENT | ARRIBA INVESMENT & EXCHANGE CORPORATION | ADVANTAGE FINANCIAL SERVICES
CRD#: 46035 / SEC#: 801-68315, 8-51278
RIA
Registered Investment Advisory firm - SEC (11/28/2012 Terminated)Arizona
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - SEC (11/23/2012 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/13/2007 Terminated)Maryland
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (7/1/2012 Approved)Ohio
Registered Investment Advisory firm - SEC (12/31/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/13/2012 Approved)Tennessee
Registered Investment Advisory firm - SEC (12/9/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Wyoming
Registered Investment Advisory firm - SEC (12/6/2017 Terminated)BD
Terminated by SEC on 05/05/2012
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Contact information
Main Address
708 Mclain Road, Kannapolis, NC 28083
Mailing Address
Phone number
(704) 295-6692
Established
North Carolina since 07/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
6
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 53,106,235 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SYNERGY INVESTMENT GROUP, LLC
CRD#: 46035Kannapolis, NC 28083TRUST BUT VERIFY
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