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Vaughan and Company Securities, Inc.

● SEC registered since 2020CRD 18826SEC# 801-118757Ridgewood, NJ
Export (members)
Reg. AUM
$280M
Employees
7
Accounts
458
Location
Ridgewood, NJ

Vaughan and Company Securities, Inc. assets under management

Vaughan and Company Securities, Inc. operates as an SEC-registered investment adviser based in Ridgewood, NJ. The firm has been registered since 2020. It reports $280 million in regulatory assets under management and employs 7 people.
www.facebook.com/vaughanandcoView on SEC.gov ↗

Vaughan and Company Securities, Inc. owners & executives

4 reported
NameTitleOwnershipSince
James D. Vaughan Jr.grantor Trust ControlShareholderOver 75%1997
James Daniel III Vaughan ControlCeo, Cfo, President, Trustee10-25%1986
James Daniel III Vaughan ControlChief Compliance Officer10-25%2020
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Frequently asked questions

How much does Vaughan and Company Securities, Inc. manage?

Vaughan and Company Securities, Inc. reports $280 million in regulatory assets under management on its Form ADV.

How many employees does Vaughan and Company Securities, Inc. have?

Vaughan and Company Securities, Inc. reports 7 employees.

Where is Vaughan and Company Securities, Inc. located?

Vaughan and Company Securities, Inc. is based in Ridgewood, NJ and has been SEC-registered since 2020.

Does Vaughan and Company Securities, Inc. disclose fund performance?

Vaughan and Company Securities, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.

Contact & registration

Address68 Passaic Street, Ridgewood, NJ 07450-9901
Phone201 444-1361
Fax201-670-1352
Office hours8:00 a.m. To 5:00 p.m.
SEC regionNew York Regional Office (NYRO)
Discloses disciplinary historyYes

Assets under management

Discretionary$180M
Non-discretionary$100M
Total (RAUM)$280M