TV
Toni M. Vaughan
SYNERGY INVESTMENT GROUP
DENVER, CO 80237
Some features on this profile are disabled
CRD#: 2963070
TV
Professional summary
Toni Marie Vaughan, who also goes by Toni Marie Rainville, Toni Marie Reynolds, Toni Vaughan, is a registered financial advisor currently at SYNERGY INVESTMENT GROUP, LLC located in Denver, Colorado and SPARK ASSET MANAGEMENT GROUP located in Denver, Colorado.
Toni is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Toni has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Toni Marie Rainville | Toni Marie Reynolds | Toni 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.
1. **TK CONSULTANTS, LLC; NOT INVESETMENT RELATED; ORGANIZATIONAL CONSULTING; PRESIDENT; 7/1/2004; MINIMAL HOURS PER MONTH; 2 HOURS DURING SEC TRADING HOURS; MEET WITH PEOPLE TO DETERMINE THE DEGREE OF ORGANIZING TO BE DONE. WILL MONITOR ANDTWEEK WHERE NECESSARY.
2. SYNERGY INVESTMENT GROUP; BTS ASSET MANAGEMENT; SPARK ASSET MANAGEMENT GROUP - INVESTMENT ADVISORY REPRESENTTIVE, INVESTMENT-RELATED - VAUGHAN MAY SOLICIT CLIENTS ON BEHALF OF INVESTMENT ADVISORY FIRMS IN PROVIDING THIRD PARTY ASSET MANAGEMENT SERVICES IN ADDITION TO HER PORTFOLIO MANAGEMENT SERVICES OFFERED THROUGH SYNERGY INVESTMENT GROUP. THE OTHER INVESTMENT ADVISORY FIRM PROVIDES COMPENSATION FOR SOLICITATION ACTIVITY TO SYNERGY INVESTMENT GROUP, OF WHICH, A PORTION IS PAID BY SYNERGY INVESTMENT GROUP TO VAUGHAN. VAUGHAN MAY MAINTAIN A REGISTRATION WITH THE OTHER INVESTMENT ADVISORY FIRMS IN PROVIDING SOLICITATION SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Toni Marie Vaughan's 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®
NoneExperience
Current
April 26, 2012 - Present
SYNERGY INVESTMENT GROUP, LLC
Office #1: 7900 East Union Avenue Suite 1100, Denver, CO 80237RIA
CRD#: 46035
DENVER, CO
Current
June 19, 2017 - Present
SPARK ASSET MANAGEMENT GROUP
Office #1: 7900 E Union Ave. Suite 1100, Denver, CO 80237RIA
CRD#: 132154
Denver, CO
Past
July 6, 2017 - December 31, 2022
BTS ASSET MANAGEMENT, INC.
RIA
CRD#: 105215
Denver, CO
Past
April 5, 2012 - April 25, 2012
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
DENVER, CO
Past
February 17, 2012 - September 1, 2015
STONEX SECURITIES INC.
BD
CRD#: 18456
DENVER, CO
Past
August 13, 2004 - March 7, 2012
SYNERGY INVESTMENT GROUP, LLC
RIA
CRD#: 46035
DENVER, CO
Past
April 6, 2004 - March 7, 2012
SYNERGY INVESTMENT GROUP, LLC
BD
CRD#: 46035
DENVER, CO
Past
March 9, 2004 - April 1, 2004
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
ENGLEWOOD, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Colorado(4/26/2012)
IAR
North Carolina(6/19/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SI
SYNERGY INVESTMENT GROUP, LLC
A.D. VALLETT & CO. | WHITLEY FINANCIAL, LLC | W. RALEIGH SEXTON JR., INC. | TAX & RETIREMENT PLANNING | SYNERGY WEALTH MANAGEMENT | SYNERGY INVESTMENT GROUP, LLC | SYNERGY BUSINESS ADVISORS, LLC | SYNERGY ADVISORY GROUP | STRATEGIC INVESTMENT DESIGNS | SANDEFER MAYO, LLC | RETIREMENT BY DESIGN | PENN NORTH FINANCIAL SERVICES | OVERSON TAX ADVISORY, INC. | OVERSON ADVISORY GROUP | OLD TOWNE FINANCIAL MANAGEMENT, INC. | OKLAHOMA FINANCIAL GROUP | MCCULLEY & WILKINSON, INC. | LBS FINANCIAL SERVICES, LLC | JOHN M. BLUMBERG, CPA, PC | INA TAX ADVISORS, INC. | HULSEY FINANCIAL SERVICES | HANEY & ALEXANDER INVESTMENT MANAGEMENT | FOX & FIN AND LIPSKI SECURITIES | DON E. SMITH CO. | DEVON FINANCIAL GROUP, LTD | COMPASS WEALTH MANAGEMENT | CLOUT, INC. | CHARTER FINANCIAL GROUP | BUFFALO SHIELD FINANCIAL PLANNING | BRIDGEDAL CAPITAL MANAGEMENT | AVELLAR ADVISORS, INC. | ARRIBA INVESTMENT MANAGEMENT | ARRIBA INVESMENT & EXCHANGE CORPORATION | ADVANTAGE FINANCIAL SERVICES
CRD#: 46035 / SEC#: 801-68315, 8-51278
RIA
Registered Investment Advisory firm - SEC (11/28/2012 Terminated)Arizona
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - SEC (11/23/2012 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/13/2007 Terminated)Maryland
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (7/1/2012 Approved)Ohio
Registered Investment Advisory firm - SEC (12/31/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/13/2012 Approved)Tennessee
Registered Investment Advisory firm - SEC (12/9/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)Wyoming
Registered Investment Advisory firm - SEC (12/6/2017 Terminated)BD
Terminated by SEC on 05/05/2012
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Contact information
Main Address
708 Mclain Road, Kannapolis, NC 28083
Mailing Address
Phone number
(704) 295-6692
Established
North Carolina since 07/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
6
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 53,106,235 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
