Stuart 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.
Stuart Ficklen Vaughn S.R. was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1968. Stuart had worked at 5 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2001 - October 23, 2017
MCMILLION SECURITIES, INC.
October 8, 1999 - February 15, 2001
LEGG MASON WOOD WALKER, INCORPORATED
May 5, 1999 - October 27, 1999
SCOTT & STRINGFELLOW, LLC
December 7, 1987 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
October 2, 1968 - December 21, 1987
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 7/25/1977
AMEX Put and Call ExamSeries 1
Date: 11/30/1959
Registered Representative ExaminationSeries 12
Date: 3/10/1982
NYSE Branch Manager ExaminationSeries 40
Date: 2/3/1969
Registered Principal ExaminationCurrent Firm
MCMILLION SECURITIES, INC.
CRD#: 7393 / SEC#: , 8-21592
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCMILLION ASSOCIATES, INC. | HOLDING COMPANY | |
| BLAKE, SHEILA R | VICE PRESIDENT | |
| CROTTS, VIRGINIA DULIN | VICE PRES. TRADING | |
| MCMILLION, DONALD CLARK | PRESIDENT/DIRECTOR/CEO/CHIEF COMPLIANCE OFFICER | 329820 |
Red Flags
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