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DAVID PAUL VAUGHAN
CRD#: 1832513
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Investment Adviser
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Previous Broker
AVIOR WEALTH MANAGEMENT, LLCCRD#: 148674 10655 SIX PINES DRIVE
SUITE 100
THE WOODLANDS, TX 77380
Registration History
19901995200020052010201520202025IAAVIOR WEALTH MANAGEMENT, LLC (CRD# 148674)2022 - Present (2 years)BNAVIGATOR SECURITIES LIMITED (CRD# 22373)1995 - 2024 (29 years)BHART SECURITIES, INC. (CRD# 28389)1991 - 1995 (4 years)BMURCHISON INVESTMENT BANKERS, LTD. (CRD# 20027)1988 - 1991 (3 years)IAWOODLANDS ASSET MANAGEMENT INC (CRD# 108122)1995 - 2022 (27 years)
Disclosure(s)
View By:
5/17/1993
Customer Dispute
Settled
License(s)

State Registrations

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Louisiana 10/4/2022

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Texas 10/4/2022

Current Registration(s)
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AVIOR WEALTH MANAGEMENT, LLC (CRD#:148674)
10655 SIX PINES DRIVE SUITE 100, THE WOODLANDS, TX 77380
Registered with this firm since 10/4/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
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09/18/1995 - 12/31/2024 NAVIGATOR SECURITIES LIMITED (CRD#:22373) THE WOODLANDS, TX
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09/25/1995 - 10/05/2022 WOODLANDS ASSET MANAGEMENT INC (CRD#:108122) THE WOODLANDS, TX
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05/28/1991 - 10/02/1995 HART SECURITIES, INC. (CRD#:28389) HOUSTON, TX
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05/11/1988 - 05/13/1991 MURCHISON INVESTMENT BANKERS, LTD. (CRD#:20027)
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.