Unclaimed Profile

Thomas Earl Vaughan

RETIREMENT CAPITAL STRATEGIES, INC.·SAN JOSE, California

SIE, Series 6, Series 7, Series 24, Series 26, Series 6328 years registeredRETIREMENT CAPITAL STRATEGIES, INC.

1190 SARATOGA AVE., SUITE 140, SAN JOSE, CA 95129CRD# 1721660Firm CRD# 139009

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Earl Vaughan · SAN JOSE, CA

Registration

CRD #1721660 · RETIREMENT CAPITAL STRATEGIES, INC. · 28 years registered

Brand Profile

Not yet started

Career History

RETIREMENT CAPITAL STRATEGIES, INC.

Mar 2016 – present

RETIREMENT CAPITAL STRATEGIES, INC.

Apr 2006 – Oct 2013

SAN JOSE, CA

LPL FINANCIAL CORPORATION

Dec 1997 – Oct 2010

SAN JOSE, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 26

Series 63

Registration record

First registered · December 31, 1997

Years registered · 28

Disclosure History

2016Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

RETIREMENT CAPITAL STRATEGIES, INC.

CRD 139009 · SEC 801-70918

AUM

$265M

Regulatory assets under management

Employees

666 client accounts

Services offered by RETIREMENT CAPITAL STRATEGIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at RETIREMENT CAPITAL STRATEGIES, INC. →

Introduction

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Frequently Asked Questions

What services does Thomas Earl Vaughan offer?

Thomas Earl Vaughan specializes in Financial Planning, Investment Management. Contact their office in SAN JOSE, California for a consultation.

What are Thomas Earl Vaughan's credentials?

Thomas Earl Vaughan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Earl Vaughan located?

Thomas Earl Vaughan is based in SAN JOSE, California, working with RETIREMENT CAPITAL STRATEGIES, INC.. Their office serves clients in the SAN JOSE metropolitan area and surrounding communities.

How does Thomas Earl Vaughan charge for services?

Thomas Earl Vaughan's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RETIREMENT CAPITAL STRATEGIES, INC.?

RETIREMENT CAPITAL STRATEGIES, INC. has approximately 6 employees and manages $265M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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