Vaughn LawCRD Number: 1394105
Current Firm: Wells Fargo Advisors, LLC
Vaughn Law (CRD# 1394105) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Salt Lake City, UT and has over 31 years of experience in the finance industry. Vaughn Law 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.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Wells Fargo Advisors LLC||West Jordan, UT||Jan 2011 - Current||5|
|Wells Fargo Investments, LLC||Salt Lake City, UT||Mar 2005 - Jan 2011||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1985|
|S65||NASAA Investment Advisors Law Examination||Sep 1992|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management372,113MILLIONS
Total Number of Accounts1,339,368ACCOUNTS
Average Account Value$277,827
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV