JV
JV
James Vaughn
29 Years of Experience
Birmingham, AL
1 DisclosureBroker
James Vaughn is a registered investment advisor at Raymond James & Associates, INC., based in Birmingham, AL, with 29 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
2900 Highway 280, Suite 100, Birmingham, AL, 35223
Get directionsHistory
Regulatory History (1)
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Customer Dispute
May 2020Denied
Other Business Activities
James owns rental real estate property since 2021. He spends minimal time on this activity.
Employment History
Current Registrations
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 5 mos
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 5 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 5 mos
Previous Registrations
Morgan Keegan & Company, INC.Broker
February 2007 - February 2013 · 6 yrs
Morgan Keegan & Company, INC.
February 2007 - February 2013 · 6 yrs
Amsouth Investment Management Company LLC
July 2003 - February 2007 · 3 yrs 7 mos
Amsouth Investment Services, INC.
March 2003 - September 2003 · 6 mos
Amsouth Investment Services, INC.Broker
March 2000 - February 2007 · 6 yrs 11 mos
Compass Brokerage, INC.Broker
August 1996 - March 2000 · 3 yrs 7 mos
American Express Financial Advisors INC.Broker
December 1995 - February 1996 · 2 mos
Ids Life Insurance CompanyBroker
December 1995 - February 1996 · 2 mos
Proequities, INC.Broker
December 1995 - December 1995 · 0 mos
State Registrations17 states
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AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.