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Detailed Report
LAURA ANN VAUGHN
CRD#: 5783498
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 2925 RICHMOND AVE
SUTIE 1200
HOUSTON, TX 77098
CETERA ADVISOR NETWORKS LLCCRD#: 13572 2925 RICHMOND AVENUE
SUITE 1200
HOUSTON, TX 77098
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2021 (11 years)2 FIRMS2010 - 2023 (12 years)2 FIRMS2023 - Present (1 year)
Disclosure(s)
View By:
8/2/2017
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 8/10/2023
B
Minnesota 8/10/2023
B
Arizona 8/10/2023
B
Missouri 8/10/2023
B
California 8/10/2023
B
Nevada 8/10/2023
B
Colorado 8/10/2023
B
New Mexico 8/10/2023
B
Connecticut 10/25/2023
B
New York 8/10/2023
B
Florida 8/11/2023
B
North Carolina 8/10/2023
B
Georgia 8/10/2023
B
Ohio 8/10/2023
B
Hawaii 8/10/2023
B
Oklahoma 8/10/2023
B
Illinois 8/10/2023
B
Pennsylvania 8/10/2023
B
Indiana 8/10/2023
B
Tennessee 8/10/2023
B
Kansas 8/10/2023
B
Texas 8/10/2023
B
Kentucky 8/10/2023
IA
Texas 8/10/2023
B
Louisiana 8/10/2023
B
Virginia 8/10/2023
B
Maryland 8/10/2023
B
Washington 8/10/2023
B
Massachusetts 8/10/2023
B
Wisconsin 8/10/2023
B
Michigan 8/10/2023

SRO Registrations

B
 FINRA

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
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
2925 RICHMOND AVE SUTIE 1200, HOUSTON, TX 77098
Registered with this firm since 8/10/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
2925 RICHMOND AVENUE SUITE 1200, HOUSTON, TX 77098
Registered with this firm since 8/10/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/28/2010 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) HOUSTON, TX
B
 09/29/2010 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) HOUSTON, TX
IA
 10/28/2010 - 10/22/2021 CRI SECURITIES, LLC (CRD#:22589) HOUSTON, TX
B
 09/29/2010 - 10/22/2021 CRI SECURITIES, LLC (CRD#:22589) HOUSTON, TX
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.