RV
RV
Robert Vaughn
27 Years of Experience
Birmingham, AL
2 DisclosuresBroker
Robert Vaughn is a registered investment advisor at Raymond James & Associates, INC., based in Birmingham, AL, with 27 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
Loading...
Location
2900 Highway 280, Suite 100, Birmingham, AL, 35223
Get directionsHistory
Regulatory History (2)
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.
Criminal
December 2020Final Disposition
Customer Dispute
March 2001Denied
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 5 mos
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 5 mos
Previous Registrations
Morgan Keegan & Company, INC.
February 2007 - February 2013 · 6 yrs
Morgan Keegan & Company, INC.Broker
February 2007 - February 2013 · 6 yrs
Amsouth Investment Management Company LLC
December 2003 - February 2007 · 3 yrs 2 mos
Amsouth Investment Services, INC.Broker
September 2003 - February 2007 · 3 yrs 5 mos
UBS Financial Services INC.Broker
August 2000 - October 2003 · 3 yrs 2 mos
UBS Financial Services INC.
June 1999 - October 2003 · 4 yrs 4 mos
J.C. Bradford & CO.Broker
January 1999 - August 2000 · 1 yr 7 mos
Pruco Securities CorporationBroker
July 1998 - November 1998 · 4 mos
State Registrations22 states
ALCACTDCFLGAIAILKYMAMDNCNVNYOHORPASCTNTXVAWY
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.