Thomas VaughanCRD Number: 1721660
Current Firm: Retirement Capital Strategies, Inc.
Thomas Vaughan (CRD# 1721660) is an Investment Advisor Representative working at Retirement Capital Strategies, Inc. in San Jose, CA and has over 32 years of experience in the finance industry.
Wells Fargo Clearing Services, LLC
Lpl Financial LLC
Fidelity Personal And Workplace Advisors
|Retirement Capital Strategies, Inc.||San Jose, CA||Mar 2016 - Current||6|
|Lpl Financial LLC||San Jose, CA||Oct 2015 - Current||6|
|Remonsy Investment Network||San Jose, CA||Oct 2013 - Sep 2015||1|
|Linsco/private Ledger Corp.||San Jose, CA||Aug 1990 - Sep 2013||23|
|Retirement Capital Strategies||San Jose, CA||Aug 1990 - Sep 2013||23|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1990|
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.Get Details on the FINRA Advisor Check site
Total Assets Under Management296MILLIONS
Total Number of Accounts664ACCOUNTS
Average Account Value$445,781
- 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
- Pension consulting services
CA, CO, NH, OR, TX
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