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Inactive

William Carroll Vaughan

Corient

Morristown, NJ

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Current Employers
Corient

830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-11-21
NJ RA APPROVED 2022-12-14
  • NY RA
    APPROVED
    Since 2023-11-21
  • NJ RA
    APPROVED
    Since 2022-12-14

Branch Locations

60 Columbia Road Building A, Suite 300, Morristown, NJ 07960 • 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
Regentatlantic Morristown NJ 05/2017 03/2023
Nfl Films Mt. Laurel NJ 07/2016 02/2017
Corient Morristown NJ 12/2022 Present
Corient Services Llc Miami FL 07/2023 Present
Cipw Service Company, Llc Toronto 01/2023 07/2023
  • 05/2017 → 03/2023
    Regentatlantic
    Morristown, NJ
  • 07/2016 → 02/2017
    Nfl Films
    Mt. Laurel, NJ
  • 12/2022 → Present
    Corient
    Morristown, NJ
  • 07/2023 → Present
    Corient Services Llc
    Miami, FL
  • 01/2023 → 07/2023
    Cipw Service Company, Llc
    Toronto
Previous Registrations
  • 2017-08-02 → 2023-03-31
    Regentatlantic
    Morristown, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-08-01
  • S65 Uniform Investment Adviser Law Examination
    2017-08-01

View on SEC IAPD

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Other Offices

EDWARD JONES · MORRISTOWN, NJ
CIRCLE SQUARED ALTERNATIVE INVESTMENTS, LLC · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
KIELY CAPITAL MANAGEMENT, INC. · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
MML INVESTORS SERVICES, LLC · Morristown, NJ
EQUITABLE ADVISORS, LLC · MORRISTOWN, NJ
HIMCO, LLC · MORRISTOWN, NJ

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