William C. Vaughn
Professional summary
William Croft Vaughn IV, who also goes by Croft Vaughn, William Vaughn, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 2016. William has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Croft Vaughn IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 3, 2016 - Present
CAPITAL ONE SECURITIES, INC.
Office #1: 299 Park Avenue 28th Floor, New York, NY 10171State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2023)
(1/10/2017)
(1/10/2017)
(1/10/2017)
(1/10/2017)
(1/10/2017)
(1/10/2017)
(11/23/2016)
(1/10/2017)
(1/10/2017)
(1/10/2017)
Exams
FINRA
Nasdaq Stock Market
Current Firm
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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