VW
Vaughn L. Woods
BOLTON SECURITIES
LA JOLLA, CA 92307
Some features on this profile are disabled
CRD#: 853692
VW
Professional summary
Vaughn Lee Woods, CFP® is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in La Jolla, California and BOLTON GLOBAL CAPITAL located in La Jolla, California.
Vaughn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Vaughn has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) Investment Advisor Representative of Bolton Global Asset Management, doing business as Vaughn Woods Financial Group. Investment related. Conducted from branch location. Spending nominal amount of hours per month on this activity during trading hours and outside trading hours. Began upon association with firm in October, 2007. Approved to provide advisory services through Charles Schwab, an outside custodian, in September 2020.
2) Owner and president of Vaughn Woods Financial Group, Inc., an s-corp created to operate investment advisory and securities businesses through Bolton Global Capital and Bolton Global Asset Management. Investment related and conducted from branch office location. Spends approximately one to two hours per month on management duties for entity. Established May of 2017.
3) Licensed to sell fixed insurance products. Investment related and conducted from branch office location. Spends less than 1 hour per month on activity during trading hours and outside trading hours. Ongoing activity since joining firm.
CRS (Client Relationship Summary) - RIA
Click below to view Vaughn Lee Woods's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vaughn Lee Woods'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®
CFP®
Start date: 1987
Experience
Current
November 16, 2009 - Present
BOLTON SECURITIES CORPORATION
Office #1: 2226 Avenida De La Playa, La Jolla, CA 92307RIA
BD
CRD#: 129376
LA JOLLA, CA
Current
October 25, 2007 - Present
BOLTON GLOBAL CAPITAL
Office #1: 2226 Avenida De La Playa Suite 'a', La Jolla, CA 92037BD
CRD#: 15650
La Jolla, CA
Past
October 25, 2007 - November 13, 2009
BOLTON SECURITIES CORPORATION
RIA
CRD#: 129376
BOLTON, MA
Past
October 31, 2005 - November 13, 2007
OSAIC SERVICES, INC.
RIA
CRD#: 133763
LA JOLLA, CA
Past
October 31, 2005 - November 13, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
LA JOLLA, CA
Past
April 9, 2003 - October 31, 2005
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
October 7, 1999 - May 12, 2000
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
December 11, 1997 - October 31, 2005
SPELMAN & CO., INC.
RIA
CRD#: 10232
LA JOLLA, CA
Past
July 8, 1993 - December 31, 1996
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
November 16, 1987 - March 25, 1992
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 26, 1983 - November 16, 1987
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
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".
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/25/2007)
RR
Alaska(10/25/2007)
RR
Arizona(10/25/2007)
RR
California(10/25/2007)
IAR
California(11/16/2009)
RR
Connecticut(10/25/2007)
RR
Florida(10/25/2007)
RR
Nevada(11/16/2007)
RR
New Jersey(10/25/2007)
RR
New York(10/25/2007)
RR
North Carolina(10/25/2007)
RR
Oregon(10/30/2007)
RR
Pennsylvania(10/25/2007)
RR
South Carolina(10/31/2007)
RR
Washington(10/26/2007)
RR
Wyoming(10/25/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/17/1978
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BOLTON SECURITIES CORPORATION
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
CRD#: 129376 / SEC#: 801-66962, 8-68187
RIA
Registered Investment Advisory firm - SEC (8/9/2006 Approved)Georgia
Registered Investment Advisory firm - SEC (8/14/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/17/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
579 Main Street, Bolton, MA 01740
Mailing Address
579 Main Street, Bolton, MA 01740
Phone number
(978) 779-6947
Established
Delaware since 07/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
154
SEC notice filing (38 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,977 |
| AUM (Assets Under Management) | $ 7,004,872,405 |
Disclosures
| Regulatory Event | 1 |
| Civil 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.
