Thomas J. Vaughn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas James Vaughn, AIF® was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2011 - March 7, 2023
VOYA INVESTMENT MANAGEMENT CO. LLC
January 19, 2011 - March 7, 2023
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 1, 2010 - June 5, 2010
INVESCO ADVISERS, INC.
December 4, 2007 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
December 4, 2007 - June 5, 2010
INVESCO DISTRIBUTORS, INC.
February 7, 2005 - January 18, 2007
AIM PRIVATE ASSET MANAGEMENT
February 7, 2005 - January 18, 2007
INVESCO DISTRIBUTORS, INC.
August 9, 2004 - February 3, 2005
BERKELEY CAPITAL MANAGEMENT LLC
October 4, 2001 - May 15, 2003
QUASAR DISTRIBUTORS, LLC
August 30, 1999 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
October 21, 1998 - February 1, 1999
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 12, 1994 - September 4, 1997
TRANSAMERICA CAPITAL, LLC
Primary Firm SEC Registration
VOYA INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VOYA INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 11/26/2024 | ||
| 10/26/2023 |
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.
