Unclaimed Profile

James David Sinclair

DAVID VAUGHAN INVESTMENTS, LLC·PEORIA, Illinois

Series 65Clean record28 years registeredDAVID VAUGHAN INVESTMENTS, LLC

5823 N FOREST PARK DRIVE, PEORIA, IL 61614-3559CRD# 3101931Firm CRD# 105990

Profile Verification

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

Identity

James David Sinclair · PEORIA, IL

Registration

CRD #3101931 · DAVID VAUGHAN INVESTMENTS, LLC · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DAVID VAUGHAN INVESTMENTS, LLC

DAVID VAUGHAN INVESTMENTS, LLC

Mar 1998 – Mar 2021

PEORIA, IL

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · March 31, 1998

Years registered · 28

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DAVID VAUGHAN INVESTMENTS, LLC

CRD 105990 · SEC 801-12642

AUM

$4.3B

Regulatory assets under management

Employees

3,778 client accounts

Services offered by DAVID VAUGHAN INVESTMENTS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at DAVID VAUGHAN INVESTMENTS, LLC →

Introduction

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Frequently Asked Questions

What services does James David Sinclair offer?

James David Sinclair specializes in Financial Planning, Investment Management, Wealth Management.

What are James David Sinclair's credentials?

James David Sinclair is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James David Sinclair located?

James David Sinclair is based in PEORIA, Illinois, last registered with DAVID VAUGHAN INVESTMENTS, LLC.

How does James David Sinclair charge for services?

James David Sinclair's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DAVID VAUGHAN INVESTMENTS, LLC?

DAVID VAUGHAN INVESTMENTS, LLC has approximately 44 employees and manages $4.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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