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RIA / WealthAdvisor38 years in industry

RICHARD ALLEN VAUGHAN

Advisor at 401K ADVISORY GROUP, INC.

SANDY SPRINGS, GA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: 401K ADVISORY GROUP, INC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 17, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Feb 17, 1988
First registration: Jan 20, 2004
Dual registered: no
Other names: RICHARD ALLEN VAYGHAN
IAPD individual key: 1597645

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
401K ADVISORY GROUP, INC.	State registered	Mar 6, 2024	n/a	yes	SANDY SPRINGS, GA	Current employment
401K ADVISORY GROUP, INC.	State registered	May 13, 2019	Dec 31, 2023	no	SANDY SPRINGS, GA	Previous registration
401K ADVISORY GROUP, INC.	State registered	Jan 5, 2010	Dec 31, 2017	no	n/a	Previous registration
CENTAURUS FINANCIAL, INC.	Bd affiliated wealth	Feb 11, 2005	Nov 11, 2009	no	ATLANTA, GA\|ATLANTA, GA\|BIRMINGHAM, AL	Previous registration
WATERSTONE FINANCIAL GROUP, INC.	n/a	May 11, 2004	Dec 31, 2004	no	ATLANTA, GA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 20, 2004	May 17, 2004	no	ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CENTAURUS FINANCIAL, INC.	401K ADVISORY GROUP, INC.	Nov 11, 2009	Jan 5, 2010	55	Firm change	Other
WATERSTONE FINANCIAL GROUP, INC.	CENTAURUS FINANCIAL, INC.	Dec 31, 2004	Feb 11, 2005	42	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	WATERSTONE FINANCIAL GROUP, INC.	May 17, 2004	May 11, 2004	-6	Firm change	Other

Relationships

Registered with (4)

→ 401K ADVISORY GROUP, INC.Registered adviserregistration: previous registration
May 13, 2019 to Dec 31, 2023factForm ADV
→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: previous registration
Feb 11, 2005 to Nov 11, 2009factForm ADV
→ WATERSTONE FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
May 11, 2004 to Dec 31, 2004factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 20, 2004 to May 17, 2004factForm ADV

Dated events

No dated event names this entity yet.