Debra Vaughan is a Bates Compliance Expert and Consultant based in Florida. She is an accomplished and seasoned professional with proven success in sales support, operations, compliance oversight, trading, risk, and management. Ms. Vaughan draws upon over 35 years in the financial services industry and her excellent communication skills with clients, team, management, operations, and risk.
Before joining Bates, Ms. Vaughan was an Executive Director for more than a decade with Morgan Stanley Chicago PWM. In that job, she primarily had overall responsibility for all of the Administrative and Risk functions. She was also responsible for ensuring compliance with legal and regulatory requirements within each jurisdiction (areas such as BlueSky, CBOE, CME, customer correspondence, email surveillance, compliance report reviews, and sign-off, trade blotter, commission run review, CNCs, error account, employee trading, and suitability). Ms. Vaughan additionally oversaw and managed special client situations, client complaints, and extraordinary risk-related issues, liaising with lawyers and Advisors.
Ms. Vaughan began her career with Goldman Sachs in Chicago, Illinois as a Sales Assistant and moved several years later to Morgan Stanley PWM where as a Senior Sales Assistant she worked with members of the senior sales team and assisted with operational, compliance, and administrative matters for the senior sales team. She also served as an Investment Associate at Lehman Brothers.
Ms. Vaughan has a Bachelor of Arts in Education from Roosevelt University in Chicago, Illinois and is currently working on earning a Master of Science in Social Work from Loyola University of Chicago. Her professional licenses and professional affiliations include Series 3, 7, 9, 10, 63, 66 and Member of the Morgan Stanley Employee Network and Complex Risk Officer Council.
Morgan Stanley, Executive Director, 2008-2018
Lehman Brothers, Investment Associate, 1999-2008
Morgan Stanley PWM, Senior Sales Assistant, 1987-1999
Goldman Sachs, Senior Sales Assistant, 1982-1987
Roosevelt University, Chicago, IL, B.A. Education; Dean’s Honor Roll
Loyola University, Chicago, IL, M.S. Social Work; in progress
Montessori Teaching Degree, Preschool and Kindergarten
FINRA Series 3, 7, 9, 10, 63, 66
Morgan Stanley Employee Network, Member
Morgan Stanley Complex Risk Officer Council, Member
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