Stephanie A. Ricketts

DAVID VAUGHAN INVESTMENTS

Peoria, IL 61614-3559

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CRD#: 3249842

Professional summary

Stephanie Anne Ricketts, CFP®, who also goes by Sparke Ricketts, is a registered financial advisor currently at DAVID VAUGHAN INVESTMENTS, LLC located in Peoria, Illinois.

Stephanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Stephanie has worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sparke Ricketts

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 Stephanie Anne Ricketts'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

November 6, 2007 - Present

DAVID VAUGHAN INVESTMENTS, LLC

Office #1: 5823 N Forest Park Drive, Peoria, IL 61614-3559

RIA

CRD#: 105990

Peoria, IL

Past

September 27, 2006 - October 11, 2007

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

PEORIA, IL

Past

July 1, 2006 - October 11, 2007

J.P. MORGAN SECURITIES INC.

CRD#: 18718

PEORIA, IL

Past

April 29, 2005 - September 27, 2006

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

PEORIA, IL

Past

March 17, 2005 - July 1, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

PEORIA, IL

Past

August 31, 1999 - October 13, 2003

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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".

DAVID VAUGHAN INVESTMENTS, LLC

DAVID VAUGHAN INVESTMENTS INC | DAVID VAUGHAN INVESTMENTS, LLC

CRD#: 105990 / SEC#: 801-12642

RIA

Registered Investment Advisory firm - (3/17/1977 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(11/6/2007)

IAR

Texas
(4/16/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/28/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/8/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/30/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DAVID VAUGHAN INVESTMENTS, LLC

DAVID VAUGHAN INVESTMENTS INC | DAVID VAUGHAN INVESTMENTS, LLC

CRD#: 105990 / SEC#: 801-12642

RIA

Registered Investment Advisory firm - (3/17/1977 Approved)

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Contact information

Main Address

5823 N Forest Park Drive, Peoria, IL 61614-3559

Mailing Address

Phone number

(309) 685-0033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DVI FORM ADV PART 2A BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	4,020
AUM (Assets Under Management)	$ 4,930,082,357

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/22/2025	Cover Page	Report
11/20/2023	Cover Page	Report
01/03/2023	Cover Page	Report

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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Stephanie A. Ricketts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Anne Ricketts's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

DAVID VAUGHAN INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/28/2005

Series 63

Date: 9/17/1999

Series 7

Date: 3/8/2005

Series 6

Date: 8/30/1999

Current Firm

DAVID VAUGHAN INVESTMENTS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DAVID VAUGHAN INVESTMENTS, LLC

TRUST BUT VERIFY

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