LV
Lisa J. Vaughn
RAYMOND JAMES (USA) LTD.
Calgary, Ab, T2P 1G1
Some features on this profile are disabled
CRD#: 7332344
LV
Professional summary
Lisa Joy Vaughn, who also goes by Lisa Joy Lesourd, Lisa Lesourd, Lisa Joy Vaughn, Lisa Vaughn, is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Lisa has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Joy Lesourd | Lisa Lesourd | Lisa Joy Vaughn | Lisa Vaughn
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.
Raymond James Ltd. ("RJL"), a registered investment dealer with CIRO, is the Canadian affiliate and parent company of Raymond James (USA) Ltd. The business is investment related. Lisa Vaughn is located at 525 8th Ave. SW, Suite 4100, Calgary, Alberta, Canada T2P 1G1, and has been employed since October 6, 2025. She is a full-time employee and her title with RJL is Senior Compliance Officer. She devotes 1 hour a month to this business during business and trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Joy Vaughn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Joy 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
October 17, 2025 - Present
RAYMOND JAMES (USA) LTD.
Office #1: Eighth Avenue Place 525 - 8th Avenue Sw, Calgary, Ab, T2P 1G1RIA
BD
CRD#: 25853
Calgary, Ab,
Current
October 16, 2025 - Present
RAYMOND JAMES (USA) LTD.
Office #1: Eighth Avenue Place 525 - 8th Avenue Sw, Calgary, Ab, T2P 1G1RIA
BD
CRD#: 25853
Calgary, Ab,
Past
March 31, 2025 - August 14, 2025
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
CHARLOTTE, NC
Past
May 11, 2023 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
CHARLOTTE, NC
Past
April 19, 2021 - August 14, 2025
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
CHARLOTTE, NC
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".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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(10/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/19/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
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.
