Broker Check

David V. Thomas, Jr.

President & Managing Member

Securities Registrations: Series 7 and 66

David V. Thomas Jr. is the President and Managing Member at Vaughn Asset Advisory. In this role, he provides private clients and small to medium size business with full service financial planning and wealth management solutions. He believes in providing truly customized recommendations and views communication between an advisor and their clients as a top priority.

Over his 14-year career within the financial planning space, David has had the pleasure of working with some of the largest names within the investment advisory space, including Wells Fargo Advisors, Merrill Lynch, and Smith Barney. In 2013, while at Wells Fargo Advisors, David was recognized as a five-star wealth manager* by Texas Monthly.

While David has spent a significant amount, time working as an advisor, but has spent an equal amount of time mentoring other financial advisors throughout his career. Through these relationships, he brings a deep network of professionals to the table that can be leveraged when clients are encountering particularly unique planning situations.

David holds a degree in Business Administration and Finance from Roanoke College in Salem, Virginia. He holds the FINRA Series 7, 66 registrations, and several proprietary professional designations from top financial institutions.

If you would like to schedule an appointment with David for an initial financial review or to learn more about Vaughn Asset Advisory please click button below.








*The Five Star Wealth Management Award , issued by Five Star Professional, a third party research firm, identifies 7% of wealth managers within a local region who satisfy objective eligibility and evaluation criteria associated with providing quality services to clients.  Five Star award recipients were nominated by either their broker/dealer or peers.  Factors considered include: a minimum of five years of experience in the financial services industry, acceptance of new clients, one year and five year retention rates, number of client households, and client assets under management.

A favorable regulatory and complaint history is defined by Five Star Professional to mean that the wealth manager has not: been subject to a regulatory action that resulted in a license or registration being suspended or revoked, or payment of a fine, had more than a total of three settled or pending customer complaints filed against them (excluding dismissed complaints) with any regulatory authority or through Five Star Professional’s consumer complaint process, individually contributed to a financial settlement of a customer complaint, filed for personal bankruptcy, been convicted of a felony. 

Recognition from rating services or publications is no guarantee of future investment success.  Working with a Five Star Wealth Manager does not ensure that a client or prospective client will experience a higher level of performance or results. The inclusion of a wealth manager on The Five Star Wealth Manager Award list should not be construed as an endorsement of the adviser by any client nor are they representative of any one client’s evaluation.

For more information on the Five Star Award and the research/selection methodology, please visit www.fivestarprofessional.com.