Alan P. Vaughan

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CRD#: 4013033

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.

Alan Porter Vaughan was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 2001. Alan had worked at 3 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 7, 2022 - December 2, 2024

BENJAMIN SECURITIES, INC.

CRD#: 7754

PENSACOLA, FL

Past

January 12, 2018 - December 31, 2020

FRONTIER SOLUTIONS, LLC

CRD#: 136102

RICHMOND, VA

Past

June 29, 2001 - January 29, 2016

DAVENPORT & COMPANY LLC

RIA

CRD#: 1588

RICHMOND, VA

Past

January 29, 2001 - January 29, 2016

DAVENPORT & COMPANY LLC

CRD#: 1588

RICHMOND, VA

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".

BENJAMIN SECURITIES, INC.

BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.

CRD#: 7754 / SEC#: 801-30987, 8-23518

RIA

Registered Investment Advisory firm - SEC (12/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/8/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/26/2001

General Securities Representative Examination

Current Firm

BENJAMIN SECURITIES, INC.

BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.

CRD#: 7754 / SEC#: 801-30987, 8-23518

RIA

Registered Investment Advisory firm - SEC (12/24/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

3 West Garden Street Suite 6, Albany, NY 12205

Mailing Address

3 West Garden Street Suite 407, Pensacola, FL 32502

Phone number

(516) 931-1090

Established

New York since 08/10/1977

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (4 States and Territories)

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A FIRM BROCHURE (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
BAKER GLOBAL ASSET MANAGEMENT, INC.	OWNER
BAKER, WILLIAM THOMAS	PRESIDENT,MSRB, CCO,AML COMPLIANCE OFFICER OF BENJAMIN SEC. & PRESIDENT,CEO,SHAREHOLDER OF BAKER GLOBAL ASSET	1804430
LAUNDRIE, THOMAS WILLIAM	VICE PRESIDENT/ ROSFP	1207021
STAMOVA, ILINA S	FINANCIAL OPERATIONS PRINCIPAL	5500851

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 33,609,905

Disclosures

Regulatory Event

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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Firm Stability Insights

Alan P. Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FRONTIER SOLUTIONS, LLC

DAVENPORT & COMPANY LLC

DAVENPORT & COMPANY LLC

Primary Firm SEC Registration

BENJAMIN SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/8/2001

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/26/2001

Current Firm

BENJAMIN SECURITIES, INC.

Contact information

SEC notice filing (4 States and Territories)

FINRA licenses (33 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BENJAMIN SECURITIES, INC.

TRUST BUT VERIFY

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