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PV

Patrick Vaughan

PAYCHEX SECURITIES
West Palm Beach, FL 33411
Some features on this profile are disabled
CRD#: 2928524
PV

Professional summary

Patrick Vaughan, who also goes by Patrick Charles Vaughan, is a registered financial professional currently at PAYCHEX SECURITIES CORPORATION located in West Palm Beach, Florida.

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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick Charles Vaughan

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) - BD

Click below to view Patrick Vaughan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 23, 2021 - Present

PAYCHEX SECURITIES CORPORATION

Office #1: 2054 Vista Parkway, West Palm Beach, FL 33411
BD
CRD#: 39733
West Palm Beach, FL
Past

January 24, 2019 - August 30, 2021

AGES FINANCIAL SERVICES, LTD.

BD
CRD#: 15427
Milton, MA
Past

January 25, 2018 - January 23, 2019

BEQUIA SECURITIES, LLC

BD
CRD#: 285783
ARLINGTON, MA
Past

January 25, 2016 - October 3, 2017

CRESAP, INC.

BD
CRD#: 25899
RADNOR, PA
Past

November 12, 2014 - December 21, 2015

REVERE SECURITIES LLC

BD
CRD#: 14178
NEW YORK, NY
Past

April 26, 2004 - July 8, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 28, 1998 - April 6, 1999

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/23/2021)
RR
Alaska
(9/23/2021)
RR
Arizona
(9/23/2021)
RR
Arkansas
(9/23/2021)
RR
California
(9/23/2021)
RR
Colorado
(9/23/2021)
RR
Connecticut
(9/23/2021)
RR
Delaware
(9/23/2021)
RR
District of Columbia
(9/23/2021)
RR
Florida
(9/23/2021)
RR
Georgia
(9/23/2021)
RR
Hawaii
(9/23/2021)
RR
Idaho
(9/23/2021)
RR
Illinois
(9/23/2021)
RR
Indiana
(9/23/2021)
RR
Iowa
(9/23/2021)
RR
Kansas
(9/23/2021)
RR
Kentucky
(9/23/2021)
RR
Louisiana
(9/23/2021)
RR
Maine
(9/23/2021)
RR
Maryland
(9/23/2021)
RR
Massachusetts
(9/24/2021)
RR
Michigan
(9/23/2021)
RR
Minnesota
(9/23/2021)
RR
Mississippi
(9/23/2021)
RR
Missouri
(9/23/2021)
RR
Montana
(9/23/2021)
RR
Nebraska
(9/23/2021)
RR
Nevada
(9/23/2021)
RR
New Hampshire
(9/23/2021)
RR
New Jersey
(9/23/2021)
RR
New Mexico
(9/23/2021)
RR
New York
(9/23/2021)
RR
North Carolina
(9/23/2021)
RR
North Dakota
(9/23/2021)
RR
Ohio
(9/23/2021)
RR
Oklahoma
(9/23/2021)
RR
Oregon
(9/23/2021)
RR
Pennsylvania
(9/23/2021)
RR
Rhode Island
(9/23/2021)
RR
South Carolina
(9/23/2021)
RR
South Dakota
(9/23/2021)
RR
Tennessee
(9/23/2021)
RR
Texas
(9/23/2021)
RR
Utah
(9/23/2021)
RR
Vermont
(9/23/2021)
RR
Virginia
(9/23/2021)
RR
Washington
(9/23/2021)
RR
West Virginia
(9/23/2021)
RR
Wisconsin
(9/23/2021)
RR
Wyoming
(9/23/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/25/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/26/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/27/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/28/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/27/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PAYCHEX SECURITIES CORPORATION
PAYCHEX SECURITIES CORPORATION

CRD#: 39733 / SEC#: , 8-48942

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
220 Kenneth Drive, Rochester, NY 14623
Mailing Address
220 Kenneth Drive, Rochester, NY 14623
Phone number
(585) 336-6545
Established
New York since 07/17/1995
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PAYCHEX HOLDINGS, LLCPARENT CORP
SCHRADER, ROBERT LEWISDIRECTOR7827962
SIMMONS, CHRISTOPHER CARLTREASURER7621466
WILEY, CHRISTINE LEEPRESIDENT3108303
WILEY, CHRISTINE LEECHIEF COMPLIANCE OFFICER3108303

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.

Company Information

PAYCHEX SECURITIES CORPORATION

CRD#: 39733West Palm Beach, FL 33411

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