Vaughn C. Guetens
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vaughn Carlson Guetens, who also goes by Vaughn Guetens, was a registered financial professional .
Vaughn is a previously registered financial professional and started their career in finance in 2017. Vaughn had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2018 - June 6, 2018
CONNECTICUT WEALTH MANAGEMENT, LLC
August 3, 2017 - December 6, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
CONNECTICUT WEALTH MANAGEMENT, LLC
CRD#: 154310 / SEC#: 801-73061
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONNECTICUT WEALTH MANAGEMENT, LLC
CRD#: 154310 / SEC#: 801-73061
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,737 |
| AUM (Assets Under Management) | $ 3,708,773,192 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 10/02/2024 | ||
| 09/26/2023 |
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.
