Richard Joseph Vaughn

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Falmouth, MA
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Falmouth, MA

Previous Registrations

• 2004-02-17 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Centerville, MA
  Boca Raton, FL
  St. Louis, MO
• 1994-02-05 → 2004-01-14
  Morgan Stanley Dw Inc.
  Coralsprings, FL

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-02-04

Other Names

• Rick Vaughn