Richard Joseph Vaughn

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2008-01-01

FL RA
APPROVED

Since 2008-01-01

Branch Locations

1513 Iyannough Rd 1St Fl Ste 3, Hyannis, MA 02601 • United States

Mashpee, MA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Falmouth	MA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Falmouth	MA	11/2016	Present

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

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-02-04

S63 Uniform Securities Agent State Law Examination

1994-02-04

Other Names

Rick Vaughn

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews