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Information

Firm:
Fsb Premier Wealth Management, Inc.
President, Chief of Operations, Director
Type: Dual Registration
Description

Mark Vaughan is an executive and has an ownership stake of Fsb Premier Wealth Management, Inc., a broker-dealer with 14 registered representatives IA, NE and SD. Mark has held an industry securities registration for 33 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Mark Francis Vaughan has not answered any questions on Financial Q&A.

Top Guides

Mark Francis Vaughan has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Warner Group, Inc. 27 years, 10 months Jul 1986 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/01/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
11/01/2013
11/16/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Registered Options Principal Examination Series 4 11/05/1999
Uniform Investment Adviser Law Examination Series 65 10/15/1993
General Securities Principal Examination Series 24 05/23/1990
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 02/05/1985
Foreign Currency Options Examination Series 15 02/20/1984
Interest Rate Options Examination Series 5 10/17/1981
Uniform Securities Agent State Law Examination Series 63 09/11/1980
General Securities Representative Examination Series 7 08/16/1980

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions