AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WV

William J. Vaughan

MCAP LLC
ORLANDO, FL 32801
Some features on this profile are disabled
CRD#: 4040554
WV

Professional summary

William Joseph Vaughan is a registered financial professional currently at MCAP LLC located in Orlando, Florida.

William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 27 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view William Joseph Vaughan's 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

January 17, 2019 - Present

MCAP LLC

Office #1: 390 N. Orange Avenue Suite 2700, Orlando, FL 32801
BD
CRD#: 139515
ORLANDO, FL
Past

December 5, 2003 - November 30, 2017

STONEX FINANCIAL INC.

BD
CRD#: 45993
WINTER PARK, FL
Past

November 1, 2000 - January 23, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 19, 1999 - November 1, 2000

MORGAN STANLEY DEAN WITTER ONLINE INC.

BD
CRD#: 34925
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

RR
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

RR
Florida
(1/17/2019)
RR
New York
(1/17/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 11/30/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/27/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/18/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/28/2015
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 12/11/2006
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

ML
MCAP LLC
EQUISEARCH SECURITIES, INC. | MCAP LLC | MADISON CAPITAL MARKETS, LLC | MADISON CAPITAL MARKETS, INC.

CRD#: 139515 / SEC#: , 8-67217

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
100 Park Avenue Suite 2201, New York, NY 10017
Mailing Address
100 Park Avenue Suite 2201, New York, NY 10017
Phone number
(212) 750-1056
Established
Delaware since 11/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MCAP TECHNOLOGIES LLCOWNER
DENNIS, WILLIAM CHOWNINGPRESIDENT4282868
MENN, DAVID ROBERTCHIEF EXECUTIVE OFFICER2283670
MULLEN, GREGORY VINCENTCHIEF FINANCIAL OFFICER & FINOP2048657
PATTI, LEONARD WILLIAMCHIEF COMPLIANCE OFFICER4276315

Disclosures

Regulatory Event2

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.

Company Information

MCAP LLC

CRD#: 139515Orlando, FL 32801

TRUST BUT VERIFY

Monitor William Vaughan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

JM
James MarescaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Guerneville, CA
JO
Joe-ben O'banionAdvisorCheck Check Mark
TITLEIST ASSET MANAGEMENT, LLC
IAR
RR
SAN ANTONIO, TX
Dale Thomas Miller
Dale MillerAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Moscow, ID
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.