VAUGHAN AND COMPANY SECURITIES, INC. of RIDGEWOOD, NJ is an SEC-registered investment adviser (CRD 18826). Regulatory assets under management: $218.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: Individuals, High net worth, Pensions, Charities, Other.
| 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 | — |
| 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 |