Charles D. 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.
Charles Duffey Vaughan, CFP®, who also goes by Charles D Vaughan, Charlie Vaughan, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1968. Charles had worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, Series 000, 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
Start date: 1983
Experience
February 5, 2024 - December 31, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 5, 2024 - December 31, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 17, 2003 - February 9, 2024
CROWN CAPITAL SECURITIES, L.P.
October 5, 2001 - February 9, 2024
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - October 8, 2001
MUTUAL SERVICE CORPORATION
May 26, 1988 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
February 23, 1988 - June 2, 1988
KAVANAUGH SECURITIES, INC.
February 24, 1986 - February 25, 1988
QUEEN CITY SECURITIES CORPORATION
February 7, 1983 - March 5, 1986
LEHMAN BROTHERS INC.
September 16, 1977 - February 17, 1983
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
October 7, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
July 8, 1974 - November 10, 1974
THOMSON MCKINNON SECURITIES INC.
August 24, 1973 - August 19, 1975
W. E. HUTTON & CO.
December 30, 1968 - September 19, 1971
DUPONT WALSTON, INCORPORATED
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 10/21/1983
Foreign Currency Options ExaminationSeries 5
Date: 2/15/1982
Interest Rate Options ExaminationSeries 000
Date: 9/1/1962
General Securities Principal ExaminationSeries 1
Date: 8/28/1962
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
