Michael J. Vaughan
Professional summary
Michael James Vaughan, who also goes by Michael J Vaughan, Michael Vaughan, is a registered financial professional currently at CANACCORD GENUITY LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 6 firms and has passed the SIE, Series 52, Series 7, Series 16, Series 4 and Series 53 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael James Vaughan's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 29, 2026 - Present
CANACCORD GENUITY LLC
Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119March 10, 2026 - June 5, 2026
INVESTEC SECURITIES (US) LLC
August 1, 2017 - April 18, 2024
SG AMERICAS SECURITIES, LLC
November 10, 2014 - January 24, 2017
NOMURA SECURITIES INTERNATIONAL, INC.
October 12, 2011 - October 31, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 2, 2004 - June 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 2003 - June 30, 2003
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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