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Otto K. Vaughan

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CRD#: 453757
OV

Professional summary

Otto Keith Vaughan JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Otto is a previously registered financial advisor and started their career in finance in 1970. Prior to being barred, Otto had worked at 10 firms, which includes SYNERGY INVESTMENT GROUP LLC, CETERA ADVISORS LLC, AMERICAN UNITED LIFE INSURANCE COMPANY, ONEAMERICA SECURITIES INC., PACIFIC SOUTHERN SECURITIES INC., BLACKGOLD SECURITIES INC., SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION, USLIFE EQUITY SALES CORP., ALLIED CAPITAL GROUP INC., VOYA FINANCIAL ADVISORS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith Otto Vaughan Jr | Keith Vaughan Jr | Keith Vaughan | O Keith Vaughan

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 26, 2005 - May 18, 2005

SYNERGY INVESTMENT GROUP, LLC

RIA
CRD#: 46035
AURORA, CO
Past

November 15, 2004 - May 18, 2005

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
CHARLOTTE, NC
Past

January 1, 1999 - December 12, 2003

CETERA ADVISORS LLC

RIA
CRD#: 10299
AURORA, CO
Past

June 28, 1988 - December 12, 2003

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

February 19, 1986 - February 26, 1988

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
Past

February 19, 1986 - February 29, 1988

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
Past

August 20, 1985 - July 6, 1988

PACIFIC SOUTHERN SECURITIES, INC.

BD
CRD#: 13155
Past

April 12, 1985 - June 4, 1987

BLACKGOLD SECURITIES, INC.

BD
CRD#: 14096
Past

May 22, 1984 - November 5, 1984

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

BD
CRD#: 3461
Past

September 13, 1983 - December 16, 1985

USLIFE EQUITY SALES CORP.

BD
CRD#: 7962
Past

May 17, 1983 - August 26, 1983

ALLIED CAPITAL GROUP, INC.

BD
CRD#: 13146
Past

September 23, 1970 - November 22, 1983

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 9/16/1970
Registered Representative Examination

Current Firm

SI
SYNERGY INVESTMENT GROUP, LLC
A.D. VALLETT & CO. | WHITLEY FINANCIAL, LLC | W. RALEIGH SEXTON JR., INC. | TAX & RETIREMENT PLANNING | SYNERGY WEALTH MANAGEMENT | SYNERGY INVESTMENT GROUP, LLC | SYNERGY BUSINESS ADVISORS, LLC | SYNERGY ADVISORY GROUP | STRATEGIC INVESTMENT DESIGNS | SANDEFER MAYO, LLC | RETIREMENT BY DESIGN | PENN NORTH FINANCIAL SERVICES | OVERSON TAX ADVISORY, INC. | OVERSON ADVISORY GROUP | OLD TOWNE FINANCIAL MANAGEMENT, INC. | OKLAHOMA FINANCIAL GROUP | MCCULLEY & WILKINSON, INC. | LBS FINANCIAL SERVICES, LLC | JOHN M. BLUMBERG, CPA, PC | INA TAX ADVISORS, INC. | HULSEY FINANCIAL SERVICES | HANEY & ALEXANDER INVESTMENT MANAGEMENT | FOX & FIN AND LIPSKI SECURITIES | DON E. SMITH CO. | DEVON FINANCIAL GROUP, LTD | COMPASS WEALTH MANAGEMENT | CLOUT, INC. | CHARTER FINANCIAL GROUP | BUFFALO SHIELD FINANCIAL PLANNING | BRIDGEDAL CAPITAL MANAGEMENT | AVELLAR ADVISORS, INC. | ARRIBA INVESTMENT MANAGEMENT | ARRIBA INVESMENT & EXCHANGE CORPORATION | ADVANTAGE FINANCIAL SERVICES

CRD#: 46035 / SEC#: 801-68315, 8-51278

RIA
Registered Investment Advisory firm - SEC (11/28/2012 Terminated)
Arizona
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)
Colorado
Registered Investment Advisory firm - SEC (11/23/2012 Approved)
Connecticut
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/13/2007 Terminated)
Maryland
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (12/17/2007 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (7/1/2012 Approved)
Ohio
Registered Investment Advisory firm - SEC (12/31/2013 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (7/13/2012 Approved)
Tennessee
Registered Investment Advisory firm - SEC (12/9/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Wyoming
Registered Investment Advisory firm - SEC (12/6/2017 Terminated)
BD
Terminated by SEC on 05/05/2012
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Contact information

Main Address
708 Mclain Road, Kannapolis, NC 28083
Mailing Address
Phone number
(704) 295-6692
Established
North Carolina since 07/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
6

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SYNERGY HOLDING GROUPMEMBER
HAYES, JOSEPH PATRICKCHIEF COMPLIANCE OFFICER4289211
JONES, JEFFREY DEANPART OWNER4188324
VANHAMME, TRACY MFINOP5378592

Regulatory assets under management

Total Number of Accounts324
AUM (Assets Under Management)$ 53,106,235

Disclosures

Regulatory Event7
Arbitration2

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

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

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