James S. 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.
James Stephen Vaughan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1972. James had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2015 - August 18, 2017
CAIN BROTHERS & COMPANY, LLC
May 10, 1995 - January 5, 2015
CAIN BROTHERS & COMPANY, LLC
October 28, 1992 - September 28, 1994
CITIGROUP GLOBAL MARKETS INC.
December 15, 1972 - February 25, 1982
SBC WARBURG DILLON READ INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 12/11/1972
Registered Representative ExaminationSeries 40
Date: 1/19/1978
Registered Principal ExaminationCurrent Firm
CAIN BROTHERS & COMPANY, LLC
CRD#: 13649 / SEC#: , 8-43078
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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