David Vaughn

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CRD#: 2695496

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.

David Vaughn, who also goes by David Ashley Vaughn, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1996. David had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Ashley 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 14, 2016 - March 29, 2023

NOVADIUS WEALTH MANAGEMENT

RIA

CRD#: 148229

Lawrence, KS

Past

February 22, 2016 - November 18, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Lawrence, KS

Past

April 2, 2012 - January 4, 2016

ETF PORTFOLIO PARTNERS, INC.

RIA

CRD#: 128366

LEAWOOD, KS

Past

March 9, 2001 - April 2, 2012

FINANCIAL ENGINES ADVISOR CENTER, LLC

RIA

CRD#: 109238

OVERLAND PARK, KS

Past

September 1, 2000 - May 16, 2001

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

January 25, 2000 - September 5, 2000

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

October 22, 1998 - January 28, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 25, 1996 - October 27, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

NOVADIUS WEALTH MANAGEMENT

NOVADIUS WEALTH MANAGEMENT | THE ETF STORE, LLC | THE ETF STORE, INC.

CRD#: 148229 / SEC#: 801-112654

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

Illinois

Registered Investment Advisory firm - (3/20/2018 Terminated)

Kansas

Registered Investment Advisory firm - (4/27/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (5/1/2018 Terminated)

Missouri

Registered Investment Advisory firm - (4/27/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/15/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/24/1996

General Securities Representative Examination

Current Firm

NOVADIUS WEALTH MANAGEMENT

NOVADIUS WEALTH MANAGEMENT | THE ETF STORE, LLC | THE ETF STORE, INC.

CRD#: 148229 / SEC#: 801-112654

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

Illinois

Registered Investment Advisory firm - (3/20/2018 Terminated)

Kansas

Registered Investment Advisory firm - (4/27/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (5/1/2018 Terminated)

Missouri

Registered Investment Advisory firm - (4/27/2018 Terminated)

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Contact information

Main Address

7300 West 110th Street Suite 870, Overland Park, KS 66210

Mailing Address

Phone number

(877) 365-3837

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NOVADIUS FORM ADV PART 2A (7/30/2025)

Regulatory assets under management

Total Number of Accounts	582
AUM (Assets Under Management)	$ 148,165,700

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.

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Advisor Monitoring

Firm Stability Insights

David Vaughn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NOVADIUS WEALTH MANAGEMENT

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

ETF PORTFOLIO PARTNERS, INC.

FINANCIAL ENGINES ADVISOR CENTER, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES AMERICA, INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

NOVADIUS WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/15/1996

Series 63

Date: 2/5/1996

Series 7

Date: 1/24/1996

Current Firm

NOVADIUS WEALTH MANAGEMENT

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOVADIUS WEALTH MANAGEMENT

TRUST BUT VERIFY

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