Michael J. Vaughan
Professional summary
Michael James Vaughan, who also goes by Michael J Vaughan, Michael Vaughan, is a registered financial professional currently at INVESTEC SECURITIES (US) 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 5 firms and has passed the SIE, Series 52, Series 7, Series 16, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael James Vaughan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2026 - Present
INVESTEC SECURITIES (US) LLC
Office #1: 10 East 53rd Street 22nd Floor, New York, NY 10022August 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
FINRA
Current Firm
INVESTEC SECURITIES (US) LLC
CRD#: 138421 / SEC#: , 8-67162
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA HOLDINGS CORP. | SOLE MEMBER | |
| GREEN, JONATHAN EVAN | GENERAL COUNSEL, MANAGER AND DIRECTOR | 7964267 |
| HADZIC, EMINA | CHIEF COMPLIANCE OFFICER (08/2025), CORPORATE SECRETARY (05/2022) | 6316232 |
| NAROV, STEVE | CHIEF FINANCIAL OFFICER, FINOP, PFO, POO, BRANCH OFFICE MANAGER AND GENERAL SECURITIES PRINCIPAL | 3060331 |
| ROSENBLUM, SCOTT S. | NON-EMPLOYEE DIRECTOR | 4251370 |
| SUMNER, NOEL JUSTIN | NON-EMPLOYEE DIRECTOR | 7448843 |
| VAN DER WALT, MARLE | NON-EMPLOYEE DIRECTOR | 7694588 |
Red Flags
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