Marcy Lynn Vaughan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

SIESeries 7Series 10Series 9Series 63Series 65

Registered states (42)

Alabama · Alaska · Arizona · California · Colorado · Delaware · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virgin Islands · Virginia · Washington · Wisconsin · Wyoming

Years in the industry (source record)

24

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Wells Fargo Advisors

Firm CRD

19616

SEC number

801-37967

Assets under management

$671.4B as of Jun 23, 2026

Website

www.twitter.com/WFINVESTING ↗

Phone

314-875-3000

Firm location

St. Louis, MO, 63103-2205

Employment history (19)

From the source registration record · current first

• Wells Fargo AdvisorsCurrent

  Scottsdale, AZ · IA capacity
  start not retrieved → present
• Wells Fargo Clearing Services, LLCCurrent

  Scottsdale, AZ · BC capacity
  start not retrieved → present
• Raymond James Financial Services Advisors, Inc

  Scottsdale, AZ · IA capacity
  Jun 4, 2021 → Jul 15, 2021
• Raymond James Financial Services, Inc.

  Scottsdale, AZ · BC capacity
  May 27, 2021 → Jul 15, 2021
• Morgan Stanley

  Denver, CO · IA capacity
  Nov 4, 2020 → May 10, 2021
• Morgan Stanley

  Denver, CO · BC capacity
  Nov 4, 2020 → May 10, 2021
• Western International Securities, Inc.

  Denver, CO · BC capacity
  May 11, 2020 → Oct 14, 2020
• Western International Securities

  Denver, CO · IA capacity
  May 7, 2020 → Oct 14, 2020
• Ubs Financial Services Inc.

  Boulder, CO · IA capacity
  Oct 23, 2015 → Feb 22, 2016
• Ubs Financial Services Inc.

  Boulder, CO · BC capacity
  Oct 23, 2015 → Feb 22, 2016
• Wells Fargo Investments, LLC

  Scottsdale, AZ · IA capacity
  Jul 8, 2010 → Jan 3, 2011
• Wells Fargo Investments, LLC

  Scottsdale, AZ · BC capacity
  Jun 25, 2010 → Jan 3, 2011
• Suntrust Investment Services, Inc.

  Charlottesville, VA · BC capacity
  May 6, 2008 → Jun 27, 2008
• Suntrust Investment Services, Inc.

  Charlottesville, VA · IA capacity
  Apr 29, 2008 → Jun 27, 2008
• Usaa Investment Management Company

  Phoenix, AZ · IA capacity
  Nov 22, 2005 → May 2, 2006
• Usaa Investment Management Company

  Phoenix, AZ · BC capacity
  Jun 10, 2004 → May 2, 2006
• Wells Fargo Securities Inc.

  San Francisco, CA · BC capacity
  Jan 19, 1999 → May 7, 2001
• Wells Fargo Brokerage Services, L.L.C.

  Minneapolis, MN · BC capacity
  Sep 25, 1998 → Dec 13, 2000
• Crestar Securities Corporation

  Richmond, VA · BC capacity
  Aug 20, 1996 → Jun 22, 1998

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.