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Detailed Report
STUART FICKLEN VAUGHN JR
STU VAUGHN JR
CRD#: 2380203
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 380 KNOLLWOOD ST STE 600
[N4-RBO]
WINSTON SALEM, NC 27103
Registration History
19952000200520102015202020252 FIRMS1999 - 1999 (<1 year)2 FIRMS2005 - 2007 (2 years)2 FIRMS2012 - Present (12 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2007 - 2012 (4 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1999 - 2005 (5 years)BSCOTT & STRINGFELLOW, INC. (CRD# 3309)1993 - 1995 (2 years)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - 2012 (3 years)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2007 - 2009 (1 year)IALEGG MASON WOOD WALKER INC (CRD# 6555)2001 - 2005 (3 years)
License(s)

State Registrations

B
Arizona 1/13/2015
B
New York 12/1/2016
B
California 5/25/2023
B
North Carolina 5/18/2012
B
Florida 5/18/2012
IA
North Carolina 5/18/2012
B
Missouri 11/18/2024
B
Virginia 1/8/2018

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
380 KNOLLWOOD ST STE 600 [N4-RBO], WINSTON SALEM, NC 27103
380 KNOLLWOOD ST STE 600 [IF-RBO], WINSTON-SALEM, NC 27103
Registered with this firm since 5/18/2012
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
380 KNOLLWOOD ST STE 600 [N4-RBO], WINSTON SALEM, NC 27103
380 KNOLLWOOD ST STE 600 [IF-RBO], WINSTON-SALEM, NC 27103
Registered with this firm since 5/18/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2009 - 05/21/2012 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) WINSTON SALEM, NC
B
 11/13/2007 - 05/21/2012 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) WINSTON-SALEM, NC
IA
 11/28/2007 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) WINSTON-SALEM, NC
IA
 10/19/2005 - 11/13/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) WINSTON-SALEM, NC
B
 05/02/2005 - 11/13/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) WINSTON-SALEM, NC
IA
 12/31/2001 - 05/03/2005 LEGG MASON WOOD WALKER INC (CRD#:6555) WINSTON-SALEM, NC
B
 10/06/1999 - 05/03/2005 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 05/05/1999 - 10/15/1999 SCOTT & STRINGFELLOW, INC. (CRD#:6255) RICHMOND, VA
B
 03/15/1999 - 05/05/1999 SCOTT & STRINGFELLOW, INC. (CRD#:3309) RICHMOND, VA
B
 09/20/1993 - 09/08/1995 SCOTT & STRINGFELLOW, INC. (CRD#:3309) RICHMOND, VA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.