SV
Stephen C. Vaughn
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP
LEAWOOD, KS
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CRD#: 7007401
SV
Professional summary
Stephen Clark Vaughn is a registered financial advisor currently at AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC. located in Leawood, Kansas and AMERICAN CENTURY INVESTMENT SERVICES INC. located in Leawood, Kansas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Stephen has worked at 7 firms and has passed the Series 66, Series 7TO and SIE 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.
Uber; Not investment-related; 175 3rd St, San Francisco, CA 94158; Rideshare/ Delivery Service; Drive; Contractor; 06/03/2023; 100 hours per month; 0 hours during securities trading hours; Drive uber customers
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Clark 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
January 21, 2025 - Present
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
Office #3: 4400 Main St, Kansas City, MO 64111RIA
CRD#: 290043
LEAWOOD, KS
Current
January 21, 2025 - Present
AMERICAN CENTURY INVESTMENT SERVICES INC.
Office #1: 4917 Town Center Drive, Leawood, KS 66211BD
CRD#: 17437
Leawood, KS
Past
September 22, 2022 - October 7, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LITTLE ROCK, AR
Past
September 22, 2022 - October 7, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LITTLE ROCK, AR
Past
June 7, 2021 - August 29, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LITTLE ROCK, AR
Past
June 4, 2021 - August 29, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
LITTLE ROCK, AR
Past
April 6, 2021 - May 26, 2021
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
Little Rock, AR
Past
January 23, 2021 - May 26, 2021
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
Little Rock, AR
Past
November 18, 2020 - January 22, 2021
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
LITTLE ROCK, AR
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".
AC
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP | AMERICAN CENTURY PRIVATE CLIENT GROUP, INC. | AMERICAN CENTURY PRIVATE CLIENT GROUP | AMERICAN CENTURY PERSONAL FINANCIAL SOLUTIONS, INC. | AMERICAN CENTURY PERSONAL FINANCIAL SOLUTIONS | AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
CRD#: 290043 / SEC#: 801-111963
RIA
Registered Investment Advisory firm - (10/30/2017 Approved)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.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(1/23/2025)
RR
Alaska(1/22/2025)
RR
Arizona(2/3/2025)
RR
Arkansas(1/22/2025)
RR
California(1/21/2025)
RR
Colorado(1/22/2025)
RR
Connecticut(1/21/2025)
RR
Delaware(1/29/2025)
RR
District of Columbia(1/23/2025)
RR
Florida(1/22/2025)
RR
Georgia(1/22/2025)
RR
Hawaii(1/22/2025)
RR
Idaho(1/21/2025)
RR
Illinois(1/22/2025)
RR
Indiana(1/24/2025)
RR
Iowa(1/23/2025)
RR
Kansas(1/21/2025)
IAR
Kansas(1/21/2025)
RR
Kentucky(1/21/2025)
RR
Louisiana(1/24/2025)
RR
Maine(1/21/2025)
RR
Maryland(1/24/2025)
RR
Massachusetts(4/9/2025)
RR
Michigan(1/23/2025)
RR
Minnesota(1/21/2025)
RR
Mississippi(1/22/2025)
RR
Missouri(1/21/2025)
IAR
Missouri(1/21/2025)
RR
Montana(1/27/2025)
RR
Nebraska(1/21/2025)
RR
Nevada(1/21/2025)
RR
New Hampshire(1/24/2025)
RR
New Jersey(1/21/2025)
RR
New Mexico(1/27/2025)
RR
New York(1/21/2025)
RR
North Carolina(1/22/2025)
RR
North Dakota(1/27/2025)
RR
Ohio(1/27/2025)
RR
Oklahoma(1/27/2025)
RR
Oregon(1/25/2025)
RR
Pennsylvania(1/22/2025)
RR
Puerto Rico(2/6/2025)
RR
Rhode Island(1/27/2025)
RR
South Carolina(1/27/2025)
RR
South Dakota(1/21/2025)
RR
Tennessee(1/22/2025)
RR
Texas(1/21/2025)
IAR
Texas(1/21/2025)
RR
Utah(1/21/2025)
RR
Vermont(1/21/2025)
RR
Virgin Islands(1/24/2025)
RR
Virginia(1/22/2025)
RR
Washington(1/22/2025)
RR
West Virginia(1/24/2025)
RR
Wisconsin(1/21/2025)
RR
Wyoming(1/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/18/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP | AMERICAN CENTURY PRIVATE CLIENT GROUP, INC. | AMERICAN CENTURY PRIVATE CLIENT GROUP | AMERICAN CENTURY PERSONAL FINANCIAL SOLUTIONS, INC. | AMERICAN CENTURY PERSONAL FINANCIAL SOLUTIONS | AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
CRD#: 290043 / SEC#: 801-111963
RIA
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Contact information
Main Address
4400 Main Street, Kansas City, MO 64111-7709
Mailing Address
P.o. Box 410141, Kansas City, MO 64141-0141
Phone number
(816) 531-5575
Established
Firm type
Fiscal year end
# of Employees
94
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,044 |
| AUM (Assets Under Management) | $ 1,987,005,678 |
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.
