Caleb W. Vaughan
RFG ADVISORY
GLEN ALLEN, VA 23060
Some features on this profile are disabled
CRD#: 6215667
Professional summary
Caleb Wayne Vaughan, CFP® is a registered financial advisor currently at RFG ADVISORY, LLC located in Glen Allen, Virginia.
Caleb is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Caleb has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.
(1) Business Name: RVA Wealth Management Investment Related: Yes Address: 4510 Cox Road, Suite 201, Glen Allen, VA 23060, Nature of Business: Advisory Activities through RFG Advisory, LLC using a DBA name. Position, Title or Relationship: Associate Financial Advisor Start Date: 5/6/2022. Hours per month: 160. Hours per month during trading hours: 160. Duties: Investment advisory services. (2) Ash Brokerage Insurance Solutions. Investment Related: Yes. Address: 888 S. Harrison St #900, Fort Wayne, IN 46802. Insurance: Variable and Health. Agent since 04/2019. 30 hours per month; 30 hours per month during securities trading hours. Duties: Advice.
CRS (Client Relationship Summary) - RIA
Click below to view Caleb Wayne 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®
CFP®
Start date: 2015
Experience
Current
May 6, 2022 - Present
RFG ADVISORY, LLC
Office #1: 4510 Cox Road Suite 201, Glen Allen, VA 23060RIA
CRD#: 158401
GLEN ALLEN, VA
Past
April 25, 2019 - May 9, 2022
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Glen Allen, VA
Past
April 25, 2019 - May 9, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Glen Allen, VA
Past
February 5, 2015 - May 3, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
GREENSBORO, NC
Past
July 14, 2014 - May 3, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
GREENSBORO, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT
CRD#: 158401 / SEC#: 801-79153
RIA
Registered Investment Advisory firm - (2/6/2014 Approved)Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)Texas
Registered Investment Advisory firm - (2/18/2014 Terminated)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
Texas(5/6/2022)
IAR
Virginia(5/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT
CRD#: 158401 / SEC#: 801-79153
RIA
Registered Investment Advisory firm - (2/6/2014 Approved)Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)Texas
Registered Investment Advisory firm - (2/18/2014 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245
Mailing Address
Phone number
(205) 397-2450
Established
Firm type
Fiscal year end
# of Employees
277
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 23,999 |
| AUM (Assets Under Management) | $ 6,120,333,343 |
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
RFG ADVISORY, LLC
CRD#: 158401Glen Allen, VA 23060TRUST BUT VERIFY
Monitor Caleb Vaughan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
