Christopher Vaughan
Christopher Vaughan is a registered investment advisor at LPL Financial LLC, based in Penn Yan, NY, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Penn Yan, NY
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Christopher sells insurance and investment products through Insight Financial and medical supplement insurance through National/New York Long Term Care Brokers, dedicating minimal time to these activities. He also partners in and owns Airbnb vacation rentals, spending about 10% of his time on these ventures.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
1st Global Capital CORP.Broker
Nylife Securities INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Mutual of Omaha Fund Management CompanyBroker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.