Patrick Vaughan
Professional Summary
Patrick Vaughan, who also goes by Patrick Charles Vaughan, is a registered financial advisor currently at PAYCHEX SECURITIES CORPORATION located in Rochester, New York. Patrick is registered as a RR (Registered Representative) and started their career in finance in 1998. Patrick has worked at 7 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Patrick Charles Vaughan
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
PAYCHEX SECURITIES CORPORATION
Contact Information
Main Address
220 Kenneth Drive, Rochester, NY 14623Mailing Address
220 Kenneth Drive, Rochester, NY 14623Phone Number
(585) 387-4312Established
New York since 07/17/1995Firm Type
CorporationFiscal Year End
MayFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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RAYMOND JAMES & ASSOCIATES, INC.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2024About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1998About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Patrick Vaughan's CRS (Customer Relationship Summary).
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