David R. 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.
David Ross Vaughan was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1961. David had worked at 10 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 1983 - October 4, 1988
SOUTHMARK CONSOLIDATED SECURITIES CORPORATION
April 26, 1982 - December 31, 1998
RETIREMENT INVESTMENT GROUP
December 26, 1978 - April 20, 1982
FSC SECURITIES CORPORATION
May 17, 1977 - October 11, 1983
FIRST PARK EQUITIES, INC.
December 23, 1976 - July 8, 1977
ETI INVESTMENT CORPORATION
December 8, 1975 - January 11, 1977
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 1, 1974 - April 5, 1976
FINANCIAL SECURITIES CORPORATION
April 23, 1973 - May 24, 1974
INTERNATIONAL SECURITIES CORP.
November 20, 1968 - April 15, 1974
FUNDAMENTAL SERVICE CORPORATION
June 5, 1961 - May 30, 1973
FINANCIAL SERVICE CORPORATION OF AMERICA
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: 4/6/1959
Registered Representative ExaminationCurrent Firm
SOUTHMARK CONSOLIDATED SECURITIES CORPORATION
CRD#: 13451 / SEC#: , 8-28083
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
