John F. Vaughn
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 Frank Vaughn was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 14 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
April 23, 2014 - May 19, 2021
USI SECURITIES, INC.
April 23, 2014 - May 19, 2021
USI SECURITIES, INC.
May 7, 2010 - April 11, 2014
VOYA RETIREMENT ADVISORS, LLC
May 7, 2010 - April 11, 2014
VOYA FINANCIAL ADVISORS, INC.
May 7, 2010 - April 11, 2014
SLD AMERICA EQUITIES, INC.
May 7, 2010 - April 11, 2014
DIRECTED SERVICES LLC
May 4, 2010 - April 11, 2014
VOYA FINANCIAL PARTNERS, LLC
May 4, 2010 - April 11, 2014
VOYA FINANCIAL PARTNERS, LLC
September 27, 2007 - August 18, 2009
AST INVESTMENT SERVICES, INC.
September 21, 2007 - August 18, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 31, 2003 - September 13, 2004
WS GRIFFITH SECURITIES, INC.
April 9, 2002 - September 12, 2007
VP DISTRIBUTORS LLC
November 17, 2000 - November 15, 2004
WS GRIFFITH SECURITIES, INC.
March 31, 1999 - November 17, 2000
TOWER SQUARE SECURITIES, INC.
Primary Firm SEC Registration
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
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
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USIC INVESTMENT GROUP INC. | SHAREHOLDER | |
| BOWMAN, RICHARD CHARLES | FINOP, DIRECTOR OF OPERATIONS | 2356525 |
| GRITZER, JOSEPH JOHN JR | PRESIDENT | 2162679 |
| KAPPUS, DAVID L | TREASURER | 6837749 |
| NEWBORN, ERNEST JOSHUA | DIRECTOR/SECRETARY | 3154426 |
| ROBIDOUX, MELINDA MCDONALD | CHIEF COMPLIANCE OFFICER | 2848093 |
| TREMKO, WILLIAM MICHAEL | CHIEF EXECUTIVE OFFICER | 4495149 |
Red Flags
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