Best Investors Account Sign in
Inactive

Stephanie Anne Ricketts

David Vaughan Investments, LLC

Peoria, IL

Claim This Profile
Current Employers
David Vaughan Investments, Llc

5823 N Forest Park Drive, Peoria, IL 61614-3559 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-16
IL RA APPROVED 2007-11-06
  • TX RA
    APPROVED_RES
    Since 2024-04-16
  • IL RA
    APPROVED
    Since 2007-11-06

Branch Locations

5823 N Forest Park Drive, Peoria, IL 61614-3559 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
David Vaughan Investments, Inc. Peoria IL 10/2007 Present
  • 10/2007 → Present
    David Vaughan Investments, Inc.
    Peoria, IL
Previous Registrations
  • 2006-09-27 → 2007-10-11
    J.P. Morgan Securities Inc.
    Peoria, IL
  • 2005-04-29 → 2006-09-27
    Banc One Securities Corporation
    Peoria, IL
    Peoria, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-28
S63 Uniform Securities Agent State Law Examination 1999-09-17
  • S66 Uniform Combined State Law Examination
    2005-04-28
  • S63 Uniform Securities Agent State Law Examination
    1999-09-17
Other Names
  • Sparke Ricketts

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
MORGAN STANLEY
LPL FINANCIAL LLC
REATHERFORD WEALTH MANAGEMENT LLC
OSAIC WEALTH, INC.
GUARDIAN WEALTH MANAGEMENT INC.
KESTRA ADVISORY SERVICES, LLC

Other Investors

ELIZABETH KARON MILLER
William Cohen
CAROLYN G DAVIS
Kory V Barlow
TAMARA L THOMPSON
MARY JO MOEHLENHOF
Mark ALLAN Robben
BRIAN T ABRAHAM

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PEORIA, IL
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · PEORIA, IL
MORGAN STANLEY · PEORIA, IL
LPL FINANCIAL LLC · PEORIA, IL
REATHERFORD WEALTH MANAGEMENT LLC · PEORIA, IL
OSAIC WEALTH, INC. · PEORIA, IL
LPL FINANCIAL LLC · PEORIA, IL
GUARDIAN WEALTH MANAGEMENT INC. · PEORIA, IL

More in Peoria, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor