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James Vaughn

Raymond James & Associates, INC.
30 Years of Experience
Birmingham, AL
1 DisclosureBroker
View SEC Summary
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James Vaughn is a registered investment advisor at Raymond James & Associates, INC., based in Birmingham, AL, with 30 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2900 Highway 280, Suite 100, Birmingham, AL, 35223

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2020
Denied
View Full SEC ReportHow to Read Disclosures
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 8 mos
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 8 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 8 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
ALARCODCFLGAHIKYLAMNMSNCNVSCTNTXWY
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.
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