CRD: 18826
Vaughan AND Company Securities, Inc.
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- Custodian
- Fidelity/NFS
- Clients
- Retail and Institutional
- Platforms
- Available
- Established Date
- 10-01-1986
- Office Locations
- 1
Office Locations
About Vaughan AND Company Securities, Inc.
Vaughan & Co. Securities, Inc. is a family-owned RIA in Ridgewood, NJ (serving Bergen County) focused on select families, small business owners, and medical/legal professionals. The firm delivers financial planning, retirement income planning, pension support, and estate/estate tax planning, pairing holistic balance-sheet review with equity-oriented portfolios. Core programs include Asset Allocation and Dividend Growth, supported by its “Jim’s Take” investing video series. Member FINRA/SIPC.
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Owner & Executives
JAMES DANIEL VAUGHAN III
Chief Compliance Officer, Chief Executive Officer, Chief Financial Officer, COMPLIANCE OFFICER, Financial Planner, President
- CRD
- #1330813
- Ownership
- 10% but less than 25%
JAMES DANIEL VAUGHAN
Financial Planner, VICE PRESIDENT
- CRD
- #453737
- Ownership
- Less than 5%
Showing 2 of 2 owners & executives
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Tyler George Kennedy
Financial Advisor
- CRD
- #7137935
Showing 1 of 3 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $215,688,600 | $405,430 |
| Non-Discretionary | $3,183,200 | $265,267 |
| Total | $218,871,800 | $402,338 |
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Separately Managed Accounts
Total SMA Asset: Available
| Asset class | Assets | Assets % |
|---|---|---|
| Public Funds | Available | Available |
| Equity - Exchange | Available | Available |
| Cash | Available | Available |
| Total | Available | Available |
13F Holdings | Q1 2026
| Issuer | Class | CUSIP | Ticker | % | Value |
|---|---|---|---|---|---|
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
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