Harvey B. 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.
Harvey Britton Vaughn JR was a registered financial advisor .
Harvey is a previously registered financial advisor and started their career in finance in 1976. Harvey had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2015 - November 30, 2015
COLUMBUS ADVISORY GROUP, LTD.
July 29, 2015 - November 24, 2015
LPS CAPITAL LLC
May 15, 2015 - July 9, 2015
ODEON CAPITAL GROUP LLC
July 2, 2014 - May 6, 2015
TRANSCEND CAPITAL
July 1, 2004 - June 26, 2014
WFG ADVISORS, LP
January 2, 2003 - June 26, 2014
WFG INVESTMENTS, INC.
December 13, 1994 - December 20, 2002
PROSPERA FINANCIAL SERVICES, INC.
July 21, 1994 - December 22, 1994
GMS GROUP
September 10, 1987 - July 19, 1994
APS FINANCIAL CORPORATION
June 4, 1987 - September 10, 1987
DOVER GROUP, INC.
November 8, 1984 - June 11, 1987
LANDMARK INVESTMENTS, INC.
April 25, 1984 - October 22, 1984
DONALD SHELDON & CO., INC.
March 28, 1983 - April 6, 1984
PARK, RYAN, INC.
January 6, 1982 - March 14, 1983
WESTCAP SECURITIES, L.P.
October 2, 1981 - January 11, 1982
DONALD SHELDON & CO., INC.
November 17, 1980 - November 3, 1983
THOMSON MCKINNON SECURITIES INC.
December 27, 1979 - November 27, 1980
WESTCAP SECURITIES, L.P.
March 13, 1979 - May 8, 1980
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
September 21, 1978 - March 28, 1979
UMIC, INC.
November 22, 1976 - January 20, 1977
F L LAWRENCE & CO INC
February 26, 1976 - November 7, 1976
WILSON WHITE, BELF, LAKE, ROCHLIN & CO.
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
COLUMBUS ADVISORY GROUP, LTD.
CRD#: 126331 / SEC#: , 8-65875
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| 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.
