Richard Joseph Vaughn

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 02/2013 → Present
  Raymond James & Associates, Inc.
  Nashville, TN

Previous Registrations

• 2004-01-23 → 2013-02-13
  Morgan Keegan & Company, Llc
  Paducah, KY
  Nashville, TN
  Nashville, TN
  Nashville, TN

Other Businesses

(1) NANO LUMENS ADDRESS: 4900 AVALON RIDGE PARKWAY,NORCROSS, GA 30071, GA NATURE OF THE BUSINESS: PERSONAL/PRIVATE INVESTMENT POSITION/TITLE: INVESTMENT RELATED:YES START DATE: 03/15/2009 HOURS PER MONTH DEVOTED TO THIS BUSINESS: 0 HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 0 DESCRIPTION OF DUTIES: I AM A PART OF A PARTNERSHIP OF 3 FRIENDS, INCLUDING MYSELF. I MADE A MONETARY CONTRIBUTION AND THAT WAS MY ONLY ROLE.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-11-17
• S63 Uniform Securities Agent State Law Examination
  1984-09-04

Other Names

• Richard J Vaughn