Vaughn Flowers

CAPITAL CITY ASSET MANAGEMENT GROUP

Powell, OH 43065

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CRD#: 6174050

Professional summary

Vaughn Flowers is a registered financial advisor currently at CAPITAL CITY ASSET MANAGEMENT GROUP, LLC located in Powell, Ohio and CAPITAL CITY SECURITIES, LLC located in Powell, Ohio.

Vaughn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Vaughn has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

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 Vaughn Flowers'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

February 16, 2016 - Present

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

Office #1: 3789 Attucks Dr, Powell, OH 43065

RIA

CRD#: 134008

Powell, OH

Current

February 16, 2016 - Present

CAPITAL CITY SECURITIES, LLC

Office #1: 3789 Attucks Dr, Powell, OH 43065

CRD#: 146001

Powell, OH

Past

August 12, 2013 - February 18, 2016

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

DUBLIN, OH

Past

July 24, 2013 - February 18, 2016

MML INVESTORS SERVICES, LLC

CRD#: 10409

DUBLIN, OH

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.

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

Ohio
(2/16/2016)

IAR

Ohio
(2/16/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/26/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/23/2013

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC | CAPITAL CITY PARTNERS ASSET MANAGEMENT GROUP, LLC | CAPITAL CITY PARTNERS ASSET MANAGEMENT GROUP

CRD#: 134008 / SEC#: 801-64792

RIA

Registered Investment Advisory firm - (11/24/2017 Terminated)

Florida

Registered Investment Advisory firm - (10/5/2017 Approved)

New York

Registered Investment Advisory firm - (12/16/2016 Approved)

North Carolina

Registered Investment Advisory firm - (4/21/2010 Terminated)

Ohio

Registered Investment Advisory firm - (7/21/2015 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

3789 Attucks Dr, Powell, OH 43065

Mailing Address

Phone number

(614) 485-0803

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	246
AUM (Assets Under Management)	$ 43,328,751

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.

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Vaughn Flowers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

CAPITAL CITY SECURITIES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/26/2018

SIE

Date: 10/1/2018

Series 6

Date: 7/23/2013

FINRA

Current Firm

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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