Wayne B. 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.
Wayne Beckley Vaughan was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1970. Wayne had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, PC 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
January 17, 2012 - December 31, 2021
L.M. KOHN & COMPANY
January 17, 2012 - December 31, 2021
L.M. KOHN & COMPANY
January 19, 2011 - January 17, 2012
MIDSOUTH CAPITAL, INC.
January 5, 2004 - December 31, 2010
MIDSOUTH CAPITAL, INC.
October 28, 2003 - January 17, 2012
MIDSOUTH CAPITAL, INC.
June 1, 1999 - November 24, 2003
CARTER, TERRY & COMPANY, INC.
December 18, 1996 - March 1, 1999
CARTER, TERRY & COMPANY, INC.
August 25, 1993 - November 15, 1996
RAYMOND JAMES & ASSOCIATES, INC.
May 1, 1992 - August 11, 1993
CIBC WORLD MARKETS CORP.
April 28, 1989 - April 24, 1992
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1984 - April 19, 1989
UBS FINANCIAL SERVICES INC.
June 27, 1983 - April 6, 1984
MORGAN KEEGAN & COMPANY, LLC
February 25, 1982 - July 7, 1983
LEHMAN BROTHERS INC.
February 6, 1981 - March 8, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 15, 1979 - February 20, 1981
PRUDENTIAL EQUITY GROUP, LLC
July 26, 1979 - November 25, 1979
LOEB PARTNERS
February 28, 1978 - April 13, 1978
MORGAN STANLEY DW INC.
January 25, 1978 - June 3, 1979
J.C. BRADFORD & CO.
January 26, 1977 - February 28, 1978
DEAN WITTER & CO. INCORPORATED
March 8, 1972 - September 6, 1972
DREXEL BURNHAM & CO. INCORPORATED
July 24, 1970 - August 26, 1972
F I DUPONT GLORE FORGAN & CO
Primary Firm SEC Registration
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
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
PC
Date: 5/25/1989
AMEX Put and Call ExamSeries 1
Date: 12/14/1964
Registered Representative ExaminationCurrent Firm
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
Contact information
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 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.
