Stephen Vaughn is a registered investment advisor, based in Littleton, CO, with 19 years of industry experience.
Location
5808 S Rapp St Ste 210, Littleton, CO, 80120-1942
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Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
Allstate Financial Services, LLCBroker
January 2019 - Present · 7 yrs 4 mos
Allstate Financial Advisors, LLC
December 2018 - Present · 7 yrs 5 mos
Previous Registrations
Transamerica Financial Advisors, INCBroker
June 2017 - December 2017 · 6 mos
Transamerica Financial Advisors, INC.
June 2017 - December 2017 · 6 mos
Transamerica Capital, INC.Broker
October 2015 - December 2015 · 2 mos
RBC Capital Markets, LLC
December 2014 - July 2015 · 7 mos
RBC Capital Markets, LLCBroker
October 2014 - July 2015 · 9 mos
Jackson National Life Distributors LLCBroker
May 2007 - October 2014 · 7 yrs 5 mos
Janus Distributors LLCBroker
April 1999 - July 2002 · 3 yrs 3 mos
State Registrations2 states
CACO
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.