Joseph M. Vaughan

VAUGHAN FAMILY FINANCIAL

Huntsville, AL 35803

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CRD#: 7606843

Professional summary

Joseph Michael Vaughan, who also goes by Joe Vaughan, Joseph M. Vaughan, is a registered financial advisor currently at VAUGHAN FAMILY FINANCIAL located in Huntsville, Alabama.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Joseph has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Vaughan | Joseph M. Vaughan

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.

Vaughan Family Financial is also a CPA firm.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Vaughan'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 21, 2023 - Present

VAUGHAN FAMILY FINANCIAL

Office #1: 10002 Colmar Road Se, Huntsville, AL 35803

RIA

CRD#: 326452

Huntsville, AL

Past

December 12, 2022 - May 18, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

HUNTSVILLE, AL

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

Alabama
(8/21/2023)

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

Series 63

Date: 3/20/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/12/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/10/2022

Securities Industry Essentials Examination

Current Firm

VAUGHAN FAMILY FINANCIAL

VAUGHAN FAMILY FINANCIAL | VAUGHAN FAMILY FINANCIAL, LLC

CRD#: 326452 / SEC#:

Alabama

Registered Investment Advisory firm - (8/21/2023 Approved)

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Contact information

Main Address

10002 Colmar Road Se, Huntsville, AL 35803

Mailing Address

Phone number

(256) 808-4476

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Joseph M. Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Vaughan's CRS (Customer Relationship Summary).

Certified licenses

Experience

VAUGHAN FAMILY FINANCIAL

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/20/2023

Series 7TO

Date: 12/12/2022

SIE

Date: 9/10/2022

Current Firm

VAUGHAN FAMILY FINANCIAL

Contact information

Documents

Red Flags

Company Information

VAUGHAN FAMILY FINANCIAL

TRUST BUT VERIFY

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