Brian C. 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.
Brian C Vaughn, who also goes by Brian Craig Vaughn, Brian Vaughn, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2007. Brian had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2017 - July 30, 2021
SILVERHAWK ASSET MANAGEMENT, LLC
October 1, 2012 - August 8, 2017
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 8, 2017
J.P. MORGAN SECURITIES LLC
December 5, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 28, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 6, 2009 - December 23, 2009
PRUCO SECURITIES, LLC.
November 17, 2008 - August 4, 2009
UBS FINANCIAL SERVICES INC.
May 28, 2007 - August 4, 2009
UBS FINANCIAL SERVICES 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
SILVERHAWK ASSET MANAGEMENT, LLC
CRD#: 167798 / SEC#: 801-78166
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,230 |
| AUM (Assets Under Management) | $ 405,176,675 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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