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AV

Aaron M. Vaughn

DEFIANT FINANCIAL SERVICES LLC
Westlake, OH 44145
Some features on this profile are disabled
CRD#: 4514977
AV

Professional summary

Aaron Michael Vaughn, CFP® is a registered financial advisor currently at DEFIANT FINANCIAL SERVICES LLC located in Westlake, Ohio.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Aaron has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
Business Ownership; Defiant Services LLC; Owner; I simply use this name to run expenses through for the practice, it has no income; Rocky River OH 44116; Not Investment Related; Mar 2018; 0 hours per month; 0 during trading hours/ Law Office of Aaron Vaughn; Attorney; Estate planning; Westlake, OH 44145; Not Investment Related; Jan 2014; 1-9 hours per month; 1-9 during trading hours/ Defiant Technology Group LLC; Owner; Rocky River, OH 44116; Not Investment Related; Mar 2018; 1-9 hours per month; 0 during trading hours. Outside Employment; Defiant Technology Group LLC; Owner; Rocky River OH 44116; Not Investment Related; Jan 1990; 0-9 hours per month; 0 during trading hours/ Law Office of Aaron Vaughn; Attorney; Westlake, OH 44145; Not Investment Related; Jan 2014; 0-9 hours per month; 1-9 during trading hours. Board of Directors; St. Christopher's Church Finance Committee; Committee Member; Rocky River, OH 44116; January 2010; 1-9 hours per month; 1-9 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Michael Vaughn'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®

Certified Financial Planner

Start date: 2011

Experience

Current

April 19, 2021 - Present

DEFIANT FINANCIAL SERVICES LLC

Office #1: 30400 Detroit Road Suite 305, Westlake, OH 44145
RIA
CRD#: 314403
Westlake, OH
Past

May 7, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

May 7, 2002 - April 23, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
WESTLAKE, OH
Past

April 24, 2002 - April 23, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WESTLAKE, OH

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.

Highlighted states indicate IAR registrations

IAR
Ohio
(4/19/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/18/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/2002
General Securities Representative Examination

Current Firm

DF
DEFIANT FINANCIAL SERVICES LLC
DEFIANT | DEFIANT SERVICES | DEFIANT FINANCIAL SERVICES LLC

CRD#: 314403 / SEC#:

Ohio
Registered Investment Advisory firm - (4/19/2021 Approved)
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Contact information

Main Address
30400 Detroit Road Suite 305, Westlake, OH 44145
Mailing Address
Phone number
(440) 385-0208
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts412
AUM (Assets Under Management)$ 62,059,452

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

DEFIANT FINANCIAL SERVICES LLC

CRD#: 314403Westlake, OH 44145

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