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Mark Francis Vaughan

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Type: SEC and FINRA Registered

Mark Vaughan is an executive and has an ownership stake of Fsb Premier Wealth Management, Inc., a broker-dealer with 10 registered representatives IA, NE and SD. Mark has held an industry securities registration for 35 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Fsb Premier Wealth Management, Inc. 29 years, 3 months Jul 1986 - Present
ExamSeriesPassed Date
Registered Options Principal ExaminationSeries 4 11/05/1999
Uniform Investment Adviser Law ExaminationSeries 65 10/15/1993
General Securities Principal ExaminationSeries 24 05/23/1990
General Securities Sales Supervisor Examination (Options Module & GeneralModule)Series 8 02/05/1985
Foreign Currency Options ExaminationSeries 15 02/20/1984
Interest Rate Options ExaminationSeries 5 10/17/1981
Uniform Securities Agent State Law ExaminationSeries 63 09/11/1980
General Securities Representative ExaminationSeries 7 08/16/1980

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

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.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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.

Firm Compensation Arrangements

Types of Compensation Arrangements

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