Mark F. Vaughan

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CRD#: 714376

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.

Mark Francis Vaughan was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 4, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 9, 1987 - January 2, 2019

FSB PREMIER WEALTH MANAGEMENT, INC.

RIA

CRD#: 15898

WATERLOO, IA

Past

July 14, 1986 - January 2, 2019

FSB PREMIER WEALTH MANAGEMENT, INC.

CRD#: 15898

WATERLOO, IA

Past

August 20, 1980 - July 14, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

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".

FSB PREMIER WEALTH MANAGEMENT, INC.

CRD#: 15898 / SEC#: 801-111084, 8-44865

RIA

Registered Investment Advisory firm - SEC (9/1/2017 Approved)

Iowa

Registered Investment Advisory firm - SEC (2/9/2018 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (2/9/2018 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/17/2011 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (1/27/2017 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 2/20/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 10/17/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/16/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/5/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/23/1990

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/5/1985

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

FSB PREMIER WEALTH MANAGEMENT, INC.

CRD#: 15898 / SEC#: 801-111084, 8-44865

RIA

Registered Investment Advisory firm - SEC (9/1/2017 Approved)

Iowa

Registered Investment Advisory firm - SEC (2/9/2018 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (2/9/2018 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/17/2011 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (1/27/2017 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

131 Tower Park Drive Suite 115, Waterloo, IA 50701

Mailing Address

131 Tower Park Drive Suite 115, Waterloo, IA 50701

Phone number

(319) 235-6561

Established

Nebraska since 05/08/1992

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (13 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FSB PREMIER WEALTH MANAGEMENT BROCHURE (PART 2A OF FORM ADV) (3/18/2025)

Direct owners and executive officers

Name	Position	CRD#
FSB FINANCIAL SERVICES INC	HOLDING COMPANY, 100 % OWNER FSB PREMIER WEALTH MANAGEMENT, INC
DUROE, RODNEY LAWRENCE	CFO, FINOP, CHAIRMAN, DIRECTOR	5622217
HOSCH, JASON THOMAS	OUTSIDE DIRECTOR
MYRVIK, JACOB KANON	CCO	6833847
RISETTER, RYAN J	CEO/PRESIDENT, DIRECTOR	6205053

Regulatory assets under management

Total Number of Accounts	1,751
AUM (Assets Under Management)	$ 346,694,879

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Mark F. Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FSB PREMIER WEALTH MANAGEMENT, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

FSB PREMIER WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/1993

Series 63

Date: 9/11/1980

SIE

Date: 10/1/2018

Series 15

Date: 2/20/1984

Series 5

Date: 10/17/1981

Series 7

Date: 8/16/1980

Series 4

Date: 11/5/1999

Series 24

Date: 5/23/1990

Series 8

Date: 2/5/1985

Current Firm

FSB PREMIER WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (13 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FSB PREMIER WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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