Michael T. Vaughn

VAUGHN INVESTMENT ADVISORS

Tustin, CA 92780

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CRD#: 6036449

Professional summary

Michael Thomas Vaughn is a registered financial advisor currently at VAUGHN INVESTMENT ADVISORS INC located in Tustin, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Michael has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Michael Thomas Vaughn'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

January 10, 2014 - Present

VAUGHN INVESTMENT ADVISORS INC

Office #1: 17621 Irvine Blvd Suite 104, Tustin, CA 92780

RIA

CRD#: 111249

Tustin, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/10/2014)

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

IAR

Series 65

Date: 1/9/2014

Uniform Investment Adviser Law Examination

Current Firm

VAUGHN INVESTMENT ADVISORS INC

VAUGHN ENTERPRISES | VAUGHN, ROBERT DONALD | VAUGHN INVESTMENT ADVISORS INC

CRD#: 111249 / SEC#: 801-64075

RIA

Registered Investment Advisory firm - (12/5/2012 Terminated)

California

Registered Investment Advisory firm - (6/28/2012 Approved)

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).

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Contact information

Main Address

17621 Irvine Blvd Suite 104, Tustin, CA 92780

Mailing Address

Phone number

(714) 565-0144

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 72,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael T. Vaughn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Vaughn's CRS (Customer Relationship Summary).

Certified licenses

Experience

VAUGHN INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2014

Current Firm

VAUGHN INVESTMENT ADVISORS INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VAUGHN INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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