Gary W. Vaughan
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.
Gary Wayne Vaughan was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1996. Gary had worked at 2 firms and has passed the Series 63, Series 38 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2003 - April 26, 2012
RICHARDSON GMP (USA) CORP.
June 7, 1996 - May 14, 2003
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
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
Series 38
Date: 5/30/1996
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
RICHARDSON GMP (USA) CORP.
CRD#: 104204 / SEC#: , 8-52658
Contact information
Documents
Red Flags
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