David Vaughan (CRD# 4747122) is an Investment Advisor Representative working at Pensionmark Financial Group, LLC in Irvine, CA and has over 20 years of experience in the finance industry. David Vaughan has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 1620034
Raymond James & Associates, Inc.
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Dorman Skorheim Wealth Management LLC
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Baker Jensen Investment Advisors, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Pensionmark Securities, LLC | Santa Barbara, CA | Jul 2019 - Current | 4 |
| Pensionmark Financial Group, Llc Dba Clearview 401(k) Consultant | Santa Barbara, CA | Jul 2019 - Current | 4 |
| Clearview 401(k) Consultants, Inc. | Orange, CA | Oct 2011 - Current | 12 |
| Securities America, Inc. | Huntington Beach, CA | Oct 2017 - Jun 2019 | 1 |
| National Planning Corporation | Orange, CA | Apr 2009 - Oct 2017 | 8 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jan 2004 |
| S65 | NASAA Investment Advisors Law Examination | Mar 2005 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
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Total Assets Under Management37,760MILLIONS
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Total Number of Accounts11,973ACCOUNTS
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Average Account Value$3,153,743
- A percentage of assets under your management
- Hourly charges
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- Portfolio management for pooled investment vehicles (other than investment companies)
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- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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