Jeffrey D. 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.
Jeffrey Douglas Vaughn was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2003. Jeffrey had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2013 - May 23, 2014
KOVACK SECURITIES INC.
October 10, 2008 - October 1, 2013
KESTRA INVESTMENT SERVICES, LLC
November 16, 2007 - September 23, 2008
BROOKSTONE SECURITIES, INC.
November 6, 2003 - May 4, 2004
NEW ENGLAND SECURITIES
February 27, 2003 - September 24, 2003
WATERSTONE FINANCIAL GROUP, 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
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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