Charles M. Vaughn
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.
Charles Michael Vaughn, who also goes by C Michael Vaughn Jr, C Michael Vaughn, Charles Michael Vaughn Jr, Charles Michael Vaughn, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 5 firms and has passed the Series 63, Series 55, 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
July 2, 2008 - January 3, 2013
HARBOR DRIVE ASSET MANAGEMENT LLC
March 10, 1992 - May 25, 2010
CRT CAPITAL GROUP LLC
March 3, 1992 - February 9, 2006
CRT CAPITAL GROUP LLC
May 24, 1991 - April 3, 1992
ACCESS SECURITIES, LLC
February 22, 1991 - March 16, 1991
S.N. PHELPS & CO.
July 20, 1981 - June 13, 1989
CREDIT SUISSE SECURITIES (USA) LLC
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 55
Date: 5/9/2000
Limited Representative-Equity Trader ExamCurrent Firm
HARBOR DRIVE ASSET MANAGEMENT LLC
CRD#: 124159 / SEC#: 801-61936
Contact information
Red Flags
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