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Broker or RIA: Who Should You Choose?

Broker or RIA: Who Should You Choose?

Jim Sinclair | Mar 1, 2014
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Peoria Office

5823 North Forest Park Drive
Peoria, IL  61614-3500

Florida Office

399 Carolina Avenue, Suite 110
Winter Park, FL  32789-3150

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David Vaughan Investments, LLC is registered with the Securities and Exchange Commission under the Investment Advisers Act of 1940. DVI was established in 1977 as a sole proprietorship, restructured into an S Corporation in 1991, and recently merged into a new Delaware LLC in September of 2017. The information provided on the DVI website is intended solely for the purpose of supplying general background information on the firm and the investment counseling services it provides. DVI does not use this resource as a means of facilitating securities transactions or providing personalized investment advice. DVI and its representatives may only conduct business in those states which it has met all regulatory requirements. Therefore, no follow-up will be made by the firm with a prospective client until DVI's compliance officer has reviewed the regulatory consequences of soliciting new business within that state.

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