JV
Jeffrey B. Vaughn
SYNERGY INVESTMENT GROUP
Kannapolis, NC 28083
Some features on this profile are disabled
CRD#: 2505687
JV
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.
1). Syneregy Insurance Group 708 McLain Rd Kannapolis NC 28083 Nature of Business: Insurance Sales Investment Related: Yes Business Position: Representative Business Duties: Insurance Sales Business Start Date: 01/30/2012 Approximately 5 hours spent on this OBA monthly with .5 hours spent during market hours. 2) SYNERGY INVESTMENT GROUP, LLC. YES, INVESTMENT RELATED; 2622 DALE EARNHARDT BLVD. KANNAPOLIS, NC. 28083; RIA; INVESTMENT ADVISORY ADVISORY REPRESENTATIVE; 06/14/2013; 5 HOURS PER MONTH AND DURING SECURITY TRADING HOURS; INVESTMENT ADVISORY SERVICES TO CLIENTS. 3)Avista Resort Condo Owner Init 1712 300 North Ocean Blvd North Myrtle Beach SC 29582 Nature of Business: Own Property that Avista rents out Investment Related: No Business Position: Owner Business Duties: Just owner of a unit. Not involved with any other aspect of Property Business Start Date: 10/03/2014 Approximately zero hours spent on this OBA monthly. 4) Vaughn Wealth Management Inc 160 Fox Grove Lane Salisbury, NC 28146 Investment Related: Yes Date Started: 3/20/2018 Title: Owner Duties: President Nature: It is my S Corp where my Income goes through Zero hours spent on this OBA. 5) Kann-Corn Properties LLC 2626 Dale Earnhardt Blvd, Kannapolis, NC 28083 05/06/2019 Non Investment Related Title: member Nature: Rent out Real Estate Duties: Make decisions on overall matters Approximately one hour per month with zero during market hours. 6) Synergy Wealth Management 708 McLain Rd Kannapolis NC 28083 Nature of Business: Manage Investment Accounts Investment Related: Yes Business Position: Investment Advisor Business Duties: Manage Investment accounts Business Start Date: 03/01/2017 Approximately 40 hours spent on this OBA monthly, with 8 during market hours.
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
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
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
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
SYNERGY INVESTMENT GROUP, LLC
CRD#: 46035Kannapolis, NC 28083TRUST BUT VERIFY
Monitor Jeffrey Vaughn
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
