Joseph B. Vaughan
STIFEL, NICOLAUS & COMPANY
Pinehurst, NC 28374
Some features on this profile are disabled
CRD#: 4382969
Professional summary
Joseph Bailey Vaughan JR, CFP®, who also goes by Bailey Vaughan, Lee Vaughan, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Pinehurst, North Carolina.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bailey Vaughan | Lee Vaughan
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.
1. Patriot Foundation; PO Box 5069 Pinehurst NC 28374; Non-Profit that provides scholarships to children of servicemen/women who have been killed, injured, wounded in the Global War on Terrorism; VP of Compliance; Oversight of terms of the grants along with correspondence to donors; 01/01/2017; 3.00 Hour(s) Per Month; Not during securities trading hours; Not Investment-Related 2. Vaughan Rental Property; 2 Chatham Lane Pinehurst NC 28374; Rental Property; Manage Rental Property; 08/15/2009; 0.00 Hour(s) Per Day; not during securities trading hours; Investment-Related 3. Young Life in the Sandhills; PO Box 1198 Southern Pines NC; Committee Member; Direction of the organization; 1/2014; 3.00 Hour(s) Per Month; not during securities trading hours; Not Investment-Related 4. Episcopal Diocese of North Carolina; 200 W Morgan St. Suite 300 Raleigh NC 27601; Empowered by the Holy Spirit, the Diocese of NC seeks to live God's dream by making disciples and making a difference; Investment Committee; Oversight of Endowment Funds; 01/01/2015; 4.00 Hour(s) Per Quarter; not during securities trading hours; Not Investment-Related 5. The Patriot Foundation; PO Box 5069; Pinehurst, NC 28374; Provide scholarships to children and spouses of service members who have been killed, injured, wounded; Treasurer; Provide funds to approved scholarships; 02/01/2022; 3 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Bailey Vaughan JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Bailey Vaughan JR'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®
CFP®
Start date: 2010
Experience
Current
December 4, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 7 Village Club Court Suite 100, Pinehurst, NC 28374RIA
BD
CRD#: 793
Pinehurst, NC
Current
December 4, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 7 Village Club Court Suite 100, Pinehurst, NC 28374RIA
BD
CRD#: 793
Pinehurst, NC
Past
April 23, 2002 - December 13, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PINEHURST, NC
Past
April 1, 2002 - December 13, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PINEHURST, NC
Past
May 7, 2001 - March 15, 2002
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.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
Alabama(12/4/2017)
RR
Arizona(12/4/2017)
RR
Colorado(9/4/2024)
RR
Florida(12/4/2017)
RR
Georgia(12/4/2017)
RR
Iowa(7/1/2025)
RR
Massachusetts(12/4/2017)
RR
Michigan(1/20/2023)
RR
New Hampshire(8/28/2024)
RR
New Mexico(9/20/2024)
RR
New York(4/2/2025)
RR
North Carolina(12/4/2017)
IAR
North Carolina(12/4/2017)
RR
Ohio(4/2/2024)
RR
Oregon(10/18/2024)
RR
Pennsylvania(7/15/2022)
RR
South Carolina(12/4/2017)
IAR
Texas(12/4/2017)
RR
Virginia(12/4/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
