Michael J. Vaughan
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.
Michael James Vaughan, who also goes by Michael J Vaughan, Michael Vaughan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 5 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 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
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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