Stephen L. Vaughn

ALLSTATE FINANCIAL ADVISORS

Littleton, CO 80120-1942

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CRD#: 3210588

Professional summary

Stephen Lawrence Vaughn, who also goes by Stephen L Vaughn, Steve Vaughn, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Littleton, Colorado and ALLSTATE FINANCIAL SERVICES, LLC located in Littleton, Colorado.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen L Vaughn | Steve Vaughn

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) - RIA

Click below to view Stephen Lawrence Vaughn'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

December 13, 2018 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 5808 S Rapp St Ste 210, Littleton, CO 80120-1942

RIA

CRD#: 109524

Littleton, CO

Current

January 15, 2019 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 5808 S Rapp St Ste 210, Littleton, CO 80120-1942

CRD#: 18272

Littleton, CO

Past

June 15, 2017 - December 31, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

GREENWOOD VILLAGE, CO

Past

June 15, 2017 - December 31, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

GREENWOOD VILLAGE, CO

Past

October 30, 2015 - December 21, 2015

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

December 23, 2014 - July 10, 2015

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

GREENWOOD VILLAGE, CO

Past

October 29, 2014 - July 10, 2015

RBC CAPITAL MARKETS, LLC

CRD#: 31194

GREENWOOD VILLAGE, CO

Past

May 22, 2007 - October 10, 2014

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

April 23, 1999 - July 17, 2002

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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.

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

California
(6/25/2019)

IAR

Colorado
(12/13/2018)

Colorado
(1/15/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/21/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

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Advisor Monitoring

Firm Stability Insights

Stephen L. Vaughn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lawrence Vaughn's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA CAPITAL, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2014

Series 63

Date: 9/13/2007

SIE

Date: 12/31/2017

Series 7

Date: 9/19/2010

Series 6

Date: 5/21/2007

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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