Stephen K. Vaughen

PACIFIC INVESTMENT ADVISORS

SIMI VALLEY, CA

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CRD#: 714618

Professional summary

Stephen Kepler Vaughen is a registered financial advisor currently at PACIFIC INVESTMENT ADVISORS, LLC located in Simi Valley, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Stephen has worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 1 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Kepler Vaughen'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®

None

Experience

Current

August 4, 2003 - Present

PACIFIC INVESTMENT ADVISORS, LLC

RIA

CRD#: 127615

SIMI VALLEY, CA

Past

January 26, 1981 - July 25, 2003

CROWELL, WEEDON & CO.

CRD#: 193

LOS ANGELES, CA

Past

August 25, 1980 - March 2, 1981

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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.

Highlighted states indicate IAR registrations

IAR

California
(8/15/2003)

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 66

Date: 7/30/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/3/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/20/2001

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 8/11/1980

Registered Representative Examination

Current Firm

PACIFIC INVESTMENT ADVISORS, LLC

PACIFIC INVESTMENT ADVISORS, LLC | VAUGHEN, STEPHEN KEPLER

CRD#: 127615 / SEC#: 801-64719

RIA

Registered Investment Advisory firm - (10/4/2010 Terminated)

Arizona

Registered Investment Advisory firm - (9/30/2005 Terminated)

California

Registered Investment Advisory firm - (8/11/2009 Approved)

Florida

Registered Investment Advisory firm - (10/6/2005 Terminated)

Texas

Registered Investment Advisory firm - (4/24/2019 Terminated)

Utah

Registered Investment Advisory firm - (1/31/2025 Terminated)

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).

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Contact information

Main Address

Simi Valley, CA

Mailing Address

2470 Stearns Street, #328, Simi Valley, CA 93063

Phone number

(805) 955-0650

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	58
AUM (Assets Under Management)	$ 25,730,000

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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Stephen K. Vaughen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Kepler Vaughen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACIFIC INVESTMENT ADVISORS, LLC

CROWELL, WEEDON & CO.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/30/2003

Series 63

Date: 5/3/1995

Series 7

Date: 11/20/2001

Series 1

Date: 8/11/1980

Current Firm

PACIFIC INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PACIFIC INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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