Elbert H. Vaughn
Professional summary
Elbert Harding Vaughn JR, ChFC®, CLU®, who also goes by E H Vaughn Jr, Hardy Vaughn Jr, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Orlando, Florida.
Elbert is registered as a RR (Registered Representative) and started their career in finance in 1975. Elbert has worked at 3 firms and has passed the Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elbert Harding Vaughn JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
January 1, 1991 - February 3, 2006
WALNUT STREET SECURITIES, INC.
August 13, 1975 - October 7, 1989
OSAIC FS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/4/2006)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/11/1975
Registered Representative ExaminationFINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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