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Expert Review

Brannan Vaughan: Exposed with the Allegations of SEC (Update 2024)

Who is Brannan Vaughan (CRD#: 2634450)?

Brannan Vaughan, a Morgan Stanley veteran of over 25 years, creates complete wealth management plans for both individual and corporate customers. Brannan, a Senior Portfolio Management Director, focuses on portfolio review and asset allocation and serves as the point of contact for corporations and affluent families for retirement planning. He also advises on 401(k) retirement plans, deferred pay programs, corporate cash management, and restricted securities in his capacity as Corporate Stock Plan Director and Corporate Client Group Director.

Brannan earned a B.S. in managerial economics from the University of California, Davis in 1992, while captaining the university’s skid team.

Since then, he has pursued opportunities to broaden his financial knowledge, gaining titles such as Executive Financial Services Director, Chartered Retirement Plan Specialist C(k)P, and Certified 401(k) Professional. Brannan was named one of the Financial Times’ Top 401 Retirement Advisors in 2015 and 2016, and he is now in his 20th year as a member of Morgan Stanley’s prestigious President’s Club.

Brannan, who is dedicated to his community and industry, was a founding professor at UCLA Anderson School of Management Executive Education’s Retirement Advisor UniversityTM. He is a senior patroller and instructor with the National Ski Patrol and currently serves on the Board of Directors at the Silicon Valley International School in Menlo Park and Palo Alto. Brannan and his wife, Laura, have three sons and live in Atherton, California. Brannan is an ardent traveler who has visited over 90 countries. Cooking, golf, tennis, skiing, history, and archaeology are among his other interests.

About Morgan Stanley Wealth Management:

Morgan Stanley Wealth Management, an American multinational financial services corporation, specializes in retail brokerage and asset management. As a division of Morgan Stanley, it serves a wide range of clients, from individual investors and small-to-mid-sized businesses to large corporations, non-profit organizations, and family foundations. With a strong history and a proven track record, Morgan Stanley Wealth Management has become a leading choice for those seeking expert financial advice and guidance.

Early Beginnings: Smith Barney & Co.

Morgan Stanley Wealth Management has its roots in the 1938 merger of Charles D. Barney & Co. and Edward B. Smith & Co., which formed Smith Barney & Co. Charles D. Barney & Co., founded by Charles D. Barney in 1873, was a New York and Philadelphia-based firm that emerged from the failure of its predecessor, Jay Cooke & Company. Edward B. Smith & Co., founded in 1892, became a significant player in securities underwriting in 1934 after absorbing the professionals from the securities business of Guaranty Trust Company, following the passage of the Glass-Steagall Act.

Morgan Stanley Wealth Management offers a comprehensive suite of financial services to cater to the diverse needs of its clients. Some of these services include:

Investment Management

Morgan Stanley Wealth Management provides a wide range of investment options, including stocks, bonds, mutual funds, exchange-traded funds (ETFs), and more. Their financial advisors help clients develop tailored investment strategies to meet their specific financial goals and risk tolerance levels.

Financial Planning

Financial planning services offered by Morgan Stanley Wealth Management include retirement planning, education planning, estate planning, and more. Their financial advisors work with clients to understand their financial objectives and develop a comprehensive financial plan to help them achieve those goals.

What is a Financial Advisor?

A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.

Banking and Lending

Morgan Stanley Wealth Management offers banking and lending solutions, such as cash management accounts, mortgages, home equity loans, and lines of credit to help clients manage their day-to-day financial needs and achieve their long-term financial goals.

Insurance and Annuities

To help clients protect their financial future, Morgan Stanley Wealth Management offers insurance and annuity products, including life insurance, long-term care insurance, and annuities, designed to provide financial stability and peace of mind.

Philanthropy and Social Impact Investing

Morgan Stanley Wealth Management offers philanthropic advisory services and social impact investing options for clients who want to align their investments with their values and make a positive impact on society.

9/12/2023 Update
As of now, Brannan Vaughan has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

Brannan Vaughan Disclosures: BrokerCheck, FINRA, And SEC

The brokerCheck report of Brannan Vaughan includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, arbitration awards, and disclosure events.

There is no disclosure against Brannan Vaughan.

Financial Advisors often remove their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any conflicts in the past.


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SEC Litigations & Forms

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Source: Brannan Vaughan – SEC Site Search Search Results

Brannan Vaughan Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt,, Justia, and Trellis. law, and Law360. If Brannan Vaughan has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Brannan Vaughan which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Brannan Vaughan on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Brannan Vaughan Complaints & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Michael Warr using the websites down below:

Better Alternatives To Brannan Vaughan:

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
Screenshot 7

Manages Assets Worth

  • $6,427,792,177


  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285


  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000


  • Financial planning
  • Portfolio management

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