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AV

Alexis W. Vaughan

ICBC STANDARD SECURITIES
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 4825473
AV

Professional summary

Alexis William Vaughan, who also goes by Alexis Vaughan, is a registered financial professional currently at ICBC STANDARD SECURITIES INC. located in New York, New York.

Alexis is registered as a RR (Registered Representative) and started their career in finance in 2004. Alexis has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexis Vaughan

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) - BD

Click below to view Alexis William Vaughan's CRS (Customer Relationship Summary).

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

Current

May 22, 2017 - Present

ICBC STANDARD SECURITIES INC.

Office #1: 1185 Avenue Of The Americas Suite 1505, New York, NY 10036
BD
CRD#: 35560
NEW YORK, NY
Past

September 19, 2011 - May 24, 2017

XTELLUS CAPITAL PARTNERS, INC.

BD
CRD#: 156048
NEW YORK, NY
Past

June 27, 2008 - May 4, 2011

SBERBANK CIB USA, INC.

BD
CRD#: 47972
NEW YORK, NY
Past

September 13, 2004 - April 29, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(5/22/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/22/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IS
ICBC STANDARD SECURITIES INC.
ICBC STANDARD SECURITIES INC. | STANDARD NEW YORK, INC | STANDARD NEW YORK SECURITIES, INC.

CRD#: 35560 / SEC#: , 8-46816

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1185 Avenue Of The Americas Suite 1505, New York, NY 10036
Mailing Address
1185 Avenue Of The Americas Suite 1505, New York, NY 10036
Phone number
(212) 407-5000
Established
Delaware since 11/03/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICBC STANDARD NY HOLDINGS INC.HOLDING COMPANY
GAO, WENYUEDIRECTOR7813696
HURD, JONATHAN SCOTTFINOP/PPO/PFO4159864
LICONTE, SABEENACHIEF COMPLIANCE OFFICER5729418
RONCEVICH, JOHN EMIL JRCEO4723228
RONCEVICH, JOHN EMIL JRDIRECTOR4723228

Disclosures

Regulatory Event3

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.

Company Information

ICBC STANDARD SECURITIES INC.

CRD#: 35560New York, NY 10036

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