Robert C. Vaughn
Professional summary
Robert Clarence Vaughn, CFP® is a registered financial professional currently at J.W. COLE FINANCIAL, INC. located in Los Alamitos, California.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1979. Robert has worked at 7 firms and has passed the Series 22TO, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Clarence Vaughn's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2013 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 4276 Katella Ave Pmb 329, Los Alamitos, CA 90720June 30, 1992 - February 21, 2013
WALNUT STREET SECURITIES, INC.
April 10, 1989 - July 9, 1992
CETERA WEALTH SERVICES, LLC
January 3, 1985 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
August 8, 1983 - September 12, 1984
SENTRA SECURITIES CORPORATION
March 18, 1982 - May 24, 1983
LPL FINANCIAL LLC
September 18, 1979 - April 15, 1982
SOUTHMARK FINANCIAL SERVICES, 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
(2/15/2013)
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 9/10/1979
Registered Representative ExaminationFINRA
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
