John S. 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.
John S Vaughan, who also goes by John Sheldon Vaughan, John Vaughan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2022 - November 10, 2023
TRUIST ADVISORY SERVICES, INC.
April 7, 2022 - November 10, 2023
TRUIST INVESTMENT SERVICES, INC.
March 11, 2020 - February 18, 2022
PRUCO SECURITIES, LLC.
March 10, 2020 - February 18, 2022
PRUCO SECURITIES, LLC.
October 21, 2014 - September 18, 2019
FIFTH THIRD SECURITIES, INC.
September 29, 2014 - September 18, 2019
FIFTH THIRD SECURITIES, INC.
July 19, 2011 - September 2, 2014
BB&T INVESTMENT SERVICES, INC.
March 15, 2010 - September 2, 2014
BB&T INVESTMENT SERVICES, INC.
November 13, 2008 - March 16, 2010
SECURIAN FINANCIAL SERVICES, INC.
November 26, 2003 - November 10, 2008
SIGNATOR INVESTORS, INC.
February 16, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 16, 1999 - January 2, 2003
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
