David Vaughan, financial advisor The Woodlands TX
83 score

David Vaughan

CRD Number: 1832513
Current Firm: Woodlands Asset Management Inc.

David Vaughan (CRD# 1832513) is an Investment Advisor Representative working at Woodlands Asset Management Inc. in The Woodlands, TX and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Woodlands Asset Managment Inc. The Woodlands, TX Jun 1999 - Current 17
Woodlands Securities Corporation The Woodlands, TX Aug 1995 - Current 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1988
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for David P. Vaughan
Phone Number: 281-367-2483
Registered State(s):
  • LA
  • TX
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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