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JAMES KELLEY VAUGHN JR
JAMES KELLEY JR VAUGHN
CRD#: 1947750
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 2900 HIGHWAY 280
SUITE 100
BIRMINGHAM, AL 35223
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1995 - 1996 (<1 year)2 FIRMS2007 - 2013 (6 years)2 FIRMS2013 - Present (12 years)BAMSOUTH INVESTMENT SERVICES, INC. (CRD# 15692)2000 - 2007 (6 years)BCOMPASS BROKERAGE, INC. (CRD# 17086)1996 - 2000 (3 years)BPROEQUITIES, INC. (CRD# 15708)1995 - 1995 (<1 year)IAAMSOUTH INVESTMENT MANAGEMENT ... (CRD# 111757)2003 - 2007 (3 years)IAAMSOUTH INVESTMENT SERVICES, INC. (CRD# 15692)2003 - 2003 (<1 year)
Disclosure(s)
View By:
5/26/2020
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/13/2013

B
Minnesota 10/27/2020

IA
Alabama 2/13/2013

B
Mississippi 3/7/2013

B
Arkansas 5/13/2016

B
Nevada 11/11/2015

B
Colorado 5/29/2024

B
North Carolina 4/23/2024

B
District of Columbia 1/10/2019

B
South Carolina 1/10/2022

B
Florida 2/13/2013

B
Tennessee 2/15/2013

B
Georgia 2/13/2013

B
Texas 7/5/2017

B
Hawaii 5/30/2023

IA
Texas 7/18/2018

B
Kentucky 6/2/2020

B
Wyoming 3/3/2020

B
Louisiana 2/13/2013

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
2900 HIGHWAY 280 SUITE 100, BIRMINGHAM, AL 35223
Birmingham, AL
Registered with this firm since 2/13/2013

B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
2900 HIGHWAY 280 SUITE 100, BIRMINGHAM, AL 35223
Birmingham, AL
Registered with this firm since 2/13/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/13/2007 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) BIRMINGHAM, AL
B
02/13/2007 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) BIRMINGHAM, AL
IA
07/10/2003 - 02/13/2007 AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC (CRD#:111757) BIRMINGHAM, AL
B
03/03/2000 - 02/13/2007 AMSOUTH INVESTMENT SERVICES, INC. (CRD#:15692) ALABASTER, AL
IA
03/14/2003 - 09/29/2003 AMSOUTH INVESTMENT SERVICES, INC. (CRD#:15692) ALABASTER, AL
B
08/14/1996 - 03/10/2000 COMPASS BROKERAGE, INC. (CRD#:17086) BIRMINGHAM, AL
B
12/01/1995 - 02/27/1996 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
12/01/1995 - 02/27/1996 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
12/01/1995 - 12/06/1995 PROEQUITIES, INC. (CRD#:15708) BIRMINGHAM, AL
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B
Broker
IA
Investment Adviser
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.