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Joseph Alexander Vaughn

Park Avenue Securities LLC

Fort Mill, SC

Charlotte, NC

CRD 7710889

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Employer firm

Park Avenue Securities LLC CRD 46173

$19.6B regulatory AUM 38,649 advisory clients

Reported services (Item 5G)

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

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

Current Employers
Park Avenue Securities Llc

10 Hudson Yards, New York, NY 10001 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-05-21
SC RA APPROVED 2026-05-20
  • NC RA
    APPROVED
    Since 2026-05-21
  • SC RA
    APPROVED
    Since 2026-05-20

Branch Locations

Fort Mill, SC • United States

6115 Park South Drive Suite 200, Charlotte, NC 28210 • 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
Unemployed Fort Mill SC 03/2026 04/2026
Guardian Life Insurance Company Charlotte NC 05/2026 Present
Park Avenue Securities Llc Charlotte NC 05/2026 Present
Guardian Life Insurance Company Fort Mill SC 05/2026 Present
Park Avenue Securities Llc Fort Mill SC 05/2026 Present
Tiaa Charlotte NC 05/2023 11/2023
Andrew Jackson High School Kershaw SC 08/2019 05/2023
Nation Ford High School Fort Mill SC 07/2017 06/2019
Western Carolina University Cullowhee NC 08/2012 05/2017
Unemployed Rock Hill SC 07/2019 07/2019
Unemployed Winston-Salem NC 06/2017 06/2017
Lpl Financial Fort Mill SC 11/2023 03/2026
  • 03/2026 → 04/2026
    Unemployed
    Fort Mill, SC
  • 05/2026 → Present
    Guardian Life Insurance Company
    Charlotte, NC
  • 05/2026 → Present
    Charlotte, NC
  • 05/2026 → Present
    Guardian Life Insurance Company
    Fort Mill, SC
  • 05/2026 → Present
    Fort Mill, SC
  • 05/2023 → 11/2023
    Tiaa
    Charlotte, NC
  • 08/2019 → 05/2023
    Andrew Jackson High School
    Kershaw, SC
  • 07/2017 → 06/2019
    Nation Ford High School
    Fort Mill, SC
  • 08/2012 → 05/2017
    Western Carolina University
    Cullowhee, NC
  • 07/2019 → 07/2019
    Unemployed
    Rock Hill, SC
  • 06/2017 → 06/2017
    Unemployed
    Winston-Salem, NC
  • 11/2023 → 03/2026
    Lpl Financial
    Fort Mill, SC
Previous Registrations
  • 2024-02-05 → 2026-03-27
    Fort Mill, SC
    Fort Mill, SC
    Fort Mill, SC
    Fort Mill, SC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-02-02
S63 Uniform Securities Agent State Law Examination 2023-07-26
  • S66 Uniform Combined State Law Examination
    2024-02-02
  • S63 Uniform Securities Agent State Law Examination
    2023-07-26
Other Names
  • Joseph A Vaughn
  • Joseph Vaughn
  • Alex Vaughn

View on SEC IAPD

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