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CV

Charles O. Vaughn

Some features on this profile are disabled
CRD#: 823740
CV

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 Oliver Vaughn III, who also goes by Charles O Vaughn, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 9 firms and has passed the Series 63, Series 65, Series 7, Series 16 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles O 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 14, 2015 - December 12, 2018

COVA INVESTMENT SOLUTIONS, LLC

RIA
CRD#: 173263
TUCSON, AZ
Past

July 2, 2007 - December 31, 2007

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
BOSTON, MA
Past

August 28, 2006 - July 2, 2007

MELLON FUNDS DISTRIBUTOR, L.P.

BD
CRD#: 39414
BOSTON, MA
Past

February 6, 1990 - October 18, 1990

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
Past

December 15, 1988 - February 6, 1990

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
Past

March 15, 1988 - February 1, 1989

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

July 22, 1987 - January 12, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

March 28, 1984 - July 16, 1987

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

August 20, 1982 - March 26, 1984

SALOMON BROTHERS INC.

BD
CRD#: 740
Past

October 23, 1980 - March 14, 1984

SALOMON BROTHERS INC.

BD
CRD#: 740
Past

June 24, 1976 - November 1, 1980

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/21/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/21/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 16
Date: 7/17/1989
NYSE Supervisory Analyst Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/1/1989
General Securities Principal Examination

Current Firm

CI
COVA INVESTMENT SOLUTIONS, LLC
COVA INVESTMENT SOLUTIONS, LLC

CRD#: 173263 / SEC#:

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Contact information

Main Address
Tucson, AZ
Mailing Address
Phone number
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.

Company Information

COVA INVESTMENT SOLUTIONS, LLC

CRD#: 173263

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