Vaughn Smith
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.
Vaughn Smith, who also goes by Vaughn Eric Smith, was a registered financial professional .
Vaughn is a previously registered financial professional and started their career in finance in 1997. Vaughn had worked at 9 firms and has passed the Series 63, Series 55, Series 3, Series 7 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
December 4, 2012 - June 10, 2013
WTS PROPRIETARY TRADING GROUP LLC
August 7, 2008 - December 31, 2010
BRIGHT TRADING, LLC
September 16, 2005 - December 11, 2006
FORTUNE FINANCIAL SERVICES, INC.
March 3, 2003 - March 8, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
November 21, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
December 5, 2000 - September 15, 2001
THE THIRD MARKET CORP.
October 16, 2000 - December 7, 2000
SCHONFELD SECURITIES, LLC
May 3, 1999 - October 25, 1999
LIND-WALDOCK SECURITIES, INC.
March 17, 1997 - March 26, 1997
MORGAN STANLEY DW INC.
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 55
Date: 3/26/2001
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
