Arvin M. 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.
Arvin Maynard Vaughan was a registered financial professional .
Arvin is a previously registered financial professional and started their career in finance in 1967. Arvin had worked at 12 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2004 - July 1, 2008
QUESTAR CAPITAL CORPORATION
June 4, 2003 - November 30, 2018
FINANCIAL COUNSELING, INC.
June 21, 1999 - July 1, 2004
SECURITIES SERVICE NETWORK, LLC
December 11, 1992 - June 17, 1999
IFG NETWORK SECURITIES, INC.
November 6, 1989 - December 31, 1992
PLANNED INVESTMENTS INC.
November 9, 1988 - November 15, 1989
INVESTACORP, INC.
December 14, 1983 - November 28, 1988
FSC SECURITIES CORPORATION
March 16, 1982 - December 14, 1983
OSAIC FS, INC.
January 31, 1982 - March 15, 1982
LEHMAN BROTHERS INC.
January 14, 1977 - December 5, 1984
PROVIDENT MARKETING CORPORATION
November 19, 1975 - January 14, 1977
PLA SECURITIES CORPORATION
October 16, 1967 - April 30, 1982
LINCOLN FINANCIAL DISTRIBUTORS, 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
Series 1
Date: 9/30/1967
Registered Representative ExaminationCurrent Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
