Ronald Vaughn
Professional summary
Ronald Vaughn was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Ronald had worked at 6 firms, which includes CADARET GRANT & CO. INC., INDEPENDENT FINANCIAL PLANNERS CORPORATION, OSAIC FS INC., PIEDMONT CAPITAL CORPORATION, PSC SECURITIES INC., DYNAVEST SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 1982 - January 31, 2006
CADARET, GRANT & CO., INC.
June 26, 1978 - December 9, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
March 12, 1976 - July 17, 1978
OSAIC FS, INC.
July 2, 1973 - March 23, 1976
PIEDMONT CAPITAL CORPORATION
November 9, 1972 - July 4, 1973
PSC SECURITIES, INC.
November 5, 1970 - July 4, 1973
DYNAVEST SECURITIES, 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 1
Date: 3/10/1969
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
