Robert E. 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.
Robert Everett Vaughan, who also goes by Bob Vaughan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 11 firms and has passed the Series 63, Series 3, 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
February 14, 2012 - December 31, 2012
PATRICK CAPITAL MARKETS, LLC
April 20, 2007 - December 31, 2010
COREBRIDGE CAPITAL SERVICES, INC.
April 6, 2006 - April 18, 2007
OLD MUTUAL INVESTMENT PARTNERS
June 7, 2004 - July 9, 2004
STEBEN & COMPANY, LLC
June 18, 1997 - May 24, 2004
COREBRIDGE CAPITAL SERVICES, INC.
April 3, 1996 - April 18, 1997
MFS FUND DISTRIBUTORS, INC.
April 19, 1995 - January 18, 1996
AMERICAN GENERAL SECURITIES INCORPORATED
December 3, 1993 - November 15, 1994
F & G SECURITIES, INC.
May 25, 1988 - December 31, 1991
FSC SECURITIES CORPORATION
May 3, 1983 - August 11, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
February 10, 1983 - April 11, 1983
PLANNED INVESTMENTS INC.
December 29, 1980 - October 28, 1983
EQUITEC SECURITIES COMPANY
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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
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.
