Lynn D. Vautrain

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CRD#: 453861

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.

Lynn Dale Vautrain, who also goes by Lindy Vautrain, was a registered financial professional .

Lynn is a previously registered financial professional and started their career in finance in 1969. Lynn had worked at 7 firms and has passed the Series 63, Series 5, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lindy Vautrain

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 3, 1991 - December 31, 1999

SIGNAL SECURITIES, INC.

CRD#: 15916

FORT WORTH, TX

Past

November 2, 1989 - August 16, 1991

TEXAS SECURITIES, INC.

CRD#: 7655

FT. WORTH, TX

Past

December 17, 1984 - December 31, 1989

VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.

CRD#: 15697

Past

October 10, 1984 - November 6, 1984

DFW CLEARING, INC.

CRD#: 7736

Past

March 14, 1973 - October 19, 1984

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

February 13, 1973 - January 2, 1974

R. S. DICKSON, POWELL, KISTLER & CRAWFORD

CRD#: 671

Past

August 1, 1969 - April 2, 1973

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SIGNAL SECURITIES, INC.

CRD#: 15916 / SEC#: 801-63630, 8-32948

RIA

Registered Investment Advisory firm - SEC (11/4/2004 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

California

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/15/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/16/2005 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/12/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/6/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 7/29/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 3/23/1977

Registered Principal Examination

Current Firm

SIGNAL SECURITIES, INC.

CRD#: 15916 / SEC#: 801-63630, 8-32948

RIA

Registered Investment Advisory firm - SEC (11/4/2004 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

California

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/15/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/16/2005 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

700 Throckmorton Street, Fort Worth, TX 76102

Mailing Address

700 Throckmorton Street, Fort Worth, TX 76102-5036

Phone number

(817) 877-4256

Established

Texas since 09/24/1984

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (16 States and Territories)

FINRA licenses (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SIGNAL ADV BROCHURE 2025 (3/7/2025)

Direct owners and executive officers

Name	Position	CRD#
SINGLETON, IVAN JERRY	EXE CHRM, TREAS, DIR: JOINTLY OWNED W/CARLA WRIGHT	1249354
WRIGHT, CARLA BETH	DIR, CORP SEC: JOINTLY OWNED WITH JERRY SINGLETON	1888192
SNOW, CHRISTOPHER RICHARD	CEO, ROSFP, DIR, MSP	2790759
KORNS, CHASE MARSHALL	CCO	6792936
MENGIS, JANET LEE	CFO

Regulatory assets under management

Total Number of Accounts	1,832
AUM (Assets Under Management)	$ 599,186,467

Disclosures

Regulatory Event	3
Arbitration	2

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.

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Firm Stability Insights

Lynn D. Vautrain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TEXAS SECURITIES, INC.

VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.

DFW CLEARING, INC.

E. F. HUTTON & COMPANY INC

R. S. DICKSON, POWELL, KISTLER & CRAWFORD

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

Primary Firm SEC Registration

SIGNAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/1982

Series 5

Date: 10/6/1981

Series 1

Date: 7/29/1969

Series 40

Date: 3/23/1977

Current Firm

SIGNAL SECURITIES, INC.

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (45 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SIGNAL SECURITIES, INC.

TRUST BUT VERIFY

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