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Patrick Vaughn

LPl Financial LLC

Charlotte, NC

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2019-08-30
  • NC RA
    APPROVED
    Since 2019-08-30

Branch Locations

4946 Piper Glen Drive, Charlotte, NC 28277 • 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
Summit Brokerage Services Inc Charlotte NC 11/2007 08/2019
Lpl Financial Charlotte NC 08/2019 Present
  • 11/2007 → 08/2019
    Summit Brokerage Services Inc
    Charlotte, NC
  • 08/2019 → Present
    Lpl Financial
    Charlotte, NC
Previous Registrations
  • 2015-05-27 → 2019-09-06
    Summit Financial Group Inc
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
Other Businesses

1)12/2014 - DBA for LPL Business (entity for LPL business) - TRIVIUM ASSET PARTNERS LLC - 100% - INVESTMENT RELATED - CHARLOTTE, NC 28277 2)11/2007 - OTHER-OWNER - ARBITRAGE MANAGEMENT PARTNERS - 50% - INVESTMENT RELATED - CHARLOTTE, NC 28277 3)06/2001 - Real Estate Rental - INSTITUTIONAL CAPITAL MANAGEMENT, LLC - 5% - INVESTMENT RELATED - CHARLOTTE, NC 28226

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-05-23
S63 Uniform Securities Agent State Law Examination 1987-10-28
  • S66 Uniform Combined State Law Examination
    2015-05-23
  • S63 Uniform Securities Agent State Law Examination
    1987-10-28
Other Names
  • Pat Vaughn
  • Vaughn

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
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MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
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