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Michael Javier Smith-Vaughan

Cerity Partners LLC

New York, NY

Boston, MA

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Current Employers
Cerity Partners Llc

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2025-01-17
TX RA APPROVED 2025-01-03
  • MA RA
    APPROVED
    Since 2025-01-17
  • TX RA
    APPROVED
    Since 2025-01-03

Branch Locations

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

265 Franklin Street 20Th Floor, Boston, MA 02110 • 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
Fidelity Investments Merrimack MA 04/2012 08/2017
E*Trade Securities Llc Boston MA 08/2017 10/2018
E*Trade Capital Management Llc Boston MA 08/2017 10/2018
Prio Wealth Lp Boston MA 10/2018 12/2024
Cerity Partners Llc New York NY 01/2025 Present
  • 04/2012 → 08/2017
    Fidelity Investments
    Merrimack, MA
  • 08/2017 → 10/2018
    E*Trade Securities Llc
    Boston, MA
  • 08/2017 → 10/2018
    E*Trade Capital Management Llc
    Boston, MA
  • 10/2018 → 12/2024
    Prio Wealth Lp
    Boston, MA
  • 01/2025 → Present
    Cerity Partners Llc
    New York, NY
Previous Registrations
  • 2018-11-02 → 2025-02-03
    Prio Wealth Lp
    Boston, MA
  • 2017-08-24 → 2018-10-05
    Harrisdirect Llc
    Boston, MA
    Arlington, VA
  • 2014-05-29 → 2017-08-21
    Strategic Advisers Llc
    Burlington, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-05-29
S63 Uniform Securities Agent State Law Examination 2012-07-24
  • S65 Uniform Investment Adviser Law Examination
    2014-05-29
  • S63 Uniform Securities Agent State Law Examination
    2012-07-24
Designations
Other Names
  • Michael Javier Smith-Vaughan

View on SEC IAPD

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ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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