Joseph Vaughan, financial advisor Pinehurst NC

Joseph Vaughan

CRD Number: 4382969
Current Firm: Stifel, Nicolaus & Company, Incorporated

Joseph Vaughan (CRD# 4382969) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Pinehurst, NC and has over 22 years of experience in the finance industry. Joseph Vaughan has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Stifel Nicolaus & Co Inc. Pinehurst, NC Dec 2017 - Current 6
Wells Fargo Clearing Services, LLC Pinehurst, NC Nov 2016 - Dec 2017 1
Wells Fargo Advisors LLC Pinehurst, NC May 2009 - Nov 2016 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2001
S65 NASAA Investment Advisors Law Examination Apr 2002
Contact Info for Joseph B. Vaughan
Phone Number: 314-342-2000
Registered State(s):
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    132,551
    MILLIONS
  • Total Number of Accounts
    334,814
    ACCOUNTS
  • Average Account Value
    $395,894
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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