Henry F. Vaughn
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.
Henry Franklin Vaughn JR was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1973. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2005 - June 30, 2008
TCA FINANCIAL GROUP, LLC
November 2, 1999 - February 15, 2005
MORGAN KEEGAN & COMPANY, LLC
February 14, 1996 - March 7, 2000
J.J.B. HILLIARD, W.L. LYONS, LLC
March 8, 1994 - January 16, 1996
MOREHEAD INVESTMENT ADVISORS, INC.
June 7, 1982 - June 23, 1993
PRUDENTIAL EQUITY GROUP, LLC
March 30, 1979 - June 18, 1982
E. F. HUTTON & COMPANY INC
January 18, 1978 - May 20, 1979
LOEB PARTNERS
September 28, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
August 27, 1976 - September 28, 1976
BACHE HALSEY STUART INC.
August 20, 1976 - September 29, 1977
J.C. BRADFORD & CO.
May 17, 1974 - August 27, 1976
BACHE & CO INCORPORATED
February 1, 1973 - June 11, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 9/28/1981
Interest Rate Options ExaminationSeries 1
Date: 1/24/1973
Registered Representative ExaminationSeries 40
Date: 11/8/1976
Registered Principal ExaminationSeries 12
Date: 10/26/1976
NYSE Branch Manager ExaminationCurrent Firm
TCA FINANCIAL GROUP, LLC
CRD#: 131275 / SEC#: , 8-66440
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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