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Stuart Ficklen Vaughn

Wells Fargo Clearing Services, LLC

Wilmington, NC

Winston Salem, NC

Winston Salem, NC

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2012-05-18
  • NC RA
    APPROVED
    Since 2012-05-18

Branch Locations

6752 Parker Farm Dr Ste 300, Wilmington, NC 28405 • United States

380 Knollwood St Ste 600, Winston Salem, NC 27103 • United States

Winston Salem, NC • 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
Wells Fargo Advisors, Llc Winston-Salem NC 05/2012 11/2016
Wells Fargo Clearing Services, Llc Winston-Salem NC 11/2016 Present
Previous Registrations
  • 2009-01-02 → 2012-05-21
    Raymond James Financial Services Advisors, Inc
    Winston Salem, NC
  • 2007-11-28 → 2009-01-02
    Raymond James Financial Services, Inc.
    Winston-Salem, NC
  • 2005-10-19 → 2007-11-13
    Uvest Financial Services Group, Inc.
    Winston-Salem, NC
    Winston-Salem, NC
  • 2001-12-31 → 2005-05-03
    Legg Mason Wood Walker, Incorporated
    Winston-Salem, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-03-19
S63 Uniform Securities Agent State Law Examination 1999-02-19
  • S65 Uniform Investment Adviser Law Examination
    1999-03-19
  • S63 Uniform Securities Agent State Law Examination
    1999-02-19
Other Names
  • Stu Vaughn

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
OSAIC INSTITUTIONS, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
MORGAN STANLEY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Other Investors

MATTHEW STEPHEN BENNETT
Gary R Bechtold
EDWARD MONTGOMERY KNOX
TIMOTHY CALHOUN GRAY
EMILY ROGERS HARVEY
CHARLES WARREN MINTZ
Savannah Castor King
JOHN DAVID THOMAS

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILMINGTON, NC
OSAIC INSTITUTIONS, INC. · Wilmington, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILMINGTON, NC

More in Wilmington, NC

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