Kevin D. Vaughan
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.
Kevin Daniel Vaughan was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1980. Kevin had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - February 27, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 1, 2014 - February 27, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 3, 1997 - December 1, 2014
FSB PREMIER WEALTH MANAGEMENT, INC.
October 16, 1991 - December 1, 2014
FSB PREMIER WEALTH MANAGEMENT, INC.
September 4, 1990 - October 2, 1991
WELLS FARGO CLEARING SERVICES, LLC
October 20, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
May 14, 1988 - November 1, 1989
LEHMAN BROTHERS INC.
November 2, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
May 28, 1981 - November 2, 1987
UBS FINANCIAL SERVICES INC.
June 26, 1980 - June 17, 1981
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 15
Date: 1/17/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
