Henry Franklin Vaughn Jr
Professional Summary
Henry Franklin Vaughn JR was a registered financial advisor. Henry was a previously registered financial professional and started their career in finance 1973 - 2008. Henry had worked at 12 firms and has passed the Series 65, Series 63, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
53 years in the financial services industry
Current & Past Employments
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Current Firm
IJL FINANCIAL ADVISORS, LLC | TRIUNE CAPITAL ADVISORS LLC | TCA FINANCIAL GROUP,LLC | TCA FINANCIAL GROUP, LLC
Contact Information
Established
North Carolina since 02/20/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Sep 1981Series 1 — Registered Representative Examination
Passed Jan 1973Series 40 — Registered Principal Examination
Passed Nov 1976Series 12 — NYSE Branch Manager Examination
Passed Oct 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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