JV
Julia M. Vaughn
DWS DISTRIBUTORS
Chicago, IL 60606
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CRD#: 6380152
JV
Professional summary
Julia M Vaughn, who also goes by Julia Lawrence, Julia Vaughn, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Chicago, Illinois.
Julia is registered as a RR (Registered Representative) and started their career in finance in 2014. Julia has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Julia Lawrence | Julia Vaughn
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.
CRS (Client Relationship Summary) - BD
Click below to view Julia M 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®
NoneExperience
Current
August 30, 2023 - Present
DWS DISTRIBUTORS, INC.
Office #1: 222 South Riverside Plaza, Chicago, IL 60606BD
CRD#: 37306
Chicago, IL
Past
June 21, 2022 - April 11, 2023
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
January 19, 2017 - August 18, 2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
Chicago, IL
Past
December 1, 2014 - June 15, 2015
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(8/30/2023)
RR
Alaska(8/30/2023)
RR
Arizona(8/30/2023)
RR
Arkansas(8/30/2023)
RR
California(8/30/2023)
RR
Colorado(8/30/2023)
RR
Connecticut(8/30/2023)
RR
Delaware(8/30/2023)
RR
District of Columbia(8/30/2023)
RR
Florida(8/30/2023)
RR
Georgia(8/30/2023)
RR
Hawaii(8/30/2023)
RR
Idaho(8/30/2023)
RR
Illinois(8/30/2023)
RR
Indiana(8/30/2023)
RR
Iowa(8/30/2023)
RR
Kansas(8/30/2023)
RR
Kentucky(8/30/2023)
RR
Louisiana(8/30/2023)
RR
Maine(8/30/2023)
RR
Maryland(8/30/2023)
RR
Massachusetts(8/30/2023)
RR
Michigan(8/30/2023)
RR
Minnesota(8/30/2023)
RR
Mississippi(8/30/2023)
RR
Missouri(8/30/2023)
RR
Montana(8/30/2023)
RR
Nebraska(8/30/2023)
RR
Nevada(8/30/2023)
RR
New Hampshire(8/30/2023)
RR
New Jersey(8/30/2023)
RR
New Mexico(8/30/2023)
RR
New York(8/30/2023)
RR
North Carolina(8/30/2023)
RR
North Dakota(8/30/2023)
RR
Ohio(8/30/2023)
RR
Oklahoma(8/30/2023)
RR
Oregon(8/30/2023)
RR
Pennsylvania(8/30/2023)
RR
Puerto Rico(8/30/2023)
RR
Rhode Island(8/30/2023)
RR
South Carolina(8/30/2023)
RR
South Dakota(8/30/2023)
RR
Tennessee(8/30/2023)
RR
Texas(8/30/2023)
RR
Utah(8/30/2023)
RR
Vermont(8/30/2023)
RR
Virgin Islands(8/30/2023)
RR
Virginia(8/30/2023)
RR
Washington(8/30/2023)
RR
West Virginia(8/30/2023)
RR
Wisconsin(8/30/2023)
RR
Wyoming(8/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
