# VAUGHAN AND COMPANY SECURITIES, INC.

VAUGHAN AND COMPANY SECURITIES, INC. of RIDGEWOOD, NJ is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 18826
- Type: SEC-registered investment adviser
- SEC file number: 801-118757
- Location: 68 PASSAIC STREET, RIDGEWOOD, NJ, 07450-9901
- Phone: 201 444-1361
- Latest filing: 2026-05-06
- Regulatory AUM: $218.9M
- Discretionary AUM: $215.7M
- Non-discretionary AUM: $3.2M
- Clients: 6
- Accounts: 544

## Business model

- Compensation: % of AUM, Fixed, Performance, Other
- Clients served: Individuals, High net worth, Pensions, Charities, Other

## Officers, owners & control persons (6)

| Name | Role | Location |
| --- | --- | --- |
| James Daniel Vaughan | VICE PRESIDENT | — |
| James Daniel Iii Vaughan | CEO, CFO, PRESIDENT, TRUSTEE; CHIEF COMPLIANCE OFFICER | — |
| VAUGHAN KEVIN DANIEL | VICE PRESIDENT | — |
| VAUGHAN JAMES DANIEL JR | REGISTERED REPRESENTATIVE | — |
| VAUGHAN JAMES DANIEL III | CEO, CFO, PRESIDENT, TRUSTEE; CHIEF COMPLIANCE OFFICER; PRESIDENT, TRUSTEE | — |
| BRADY PAUL GREGORY | COMPLIANCE OFFICER | — |


## Disclosures (16)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2000-07-10 | regulatory | VAUGHAN & CO. ACTING THROUGH JAMES D.VAUGHAN, III, ALLOWED JAMES D. VAUGHAN, JR. TO ACT AS A GENERAL SECURITIES PRINCIPAL OF THE FIRM, WHILE FAILING TO HAVE REGISTERED IN SUCH CAPACITY. VAUGHAN & CO. ACTING THROUGH JAMES D. VAUGHAN, III, FAILED TO MAINTAIN WRITTEN SUPERVISORY PROCEDURES MANDATING TH… | Final | $11K |
| 1997-01-16 | regulatory | MARYLAND REVOCKED OUR LICENSE FOR FAILURE TO HAVE ANY LICENSED AGENTS IN MARYLAND. | Final | — |
| 1990-05-29 | regulatory | UPON AUDIT THE NASD DETERMINED THAT WE HAD CONDUCTED A SECURITIES BUSINESS WHILE UNDER CAPITALIZED AS DEFINED BY THE NET CAPITAL RULES. IN ADDITION, THE NASD DETERMINED THAT WE HAD FAILED TO KEEP A GENERAL LEDGER. | Final | $3K |
| 1989-02-01 | regulatory | LATE FILING OF FOCUS | Final | $250 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/18826/brochure
- Similar advisers: https://search.stillhousedata.com/firm/18826/similar
- Related entities: https://search.stillhousedata.com/firm/18826/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/18826

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.