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James Daniel Iii Vaughan

VAUGHAN AND COMPANY SECURITIES, INC.·RIDGEWOOD, New Jersey
VAUGHAN AND COMPANY SECURITIES, INC.
68 PASSAIC STREET, RIDGEWOOD, NJ 07450-9901CRD# 1330813Firm CRD# 18826

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James Daniel Iii Vaughan · RIDGEWOOD, NJ
Registration
CRD #1330813 · VAUGHAN AND COMPANY SECURITIES, INC.
Brand Profile
Not yet started
Disclosure history
5 disclosures on file · See FINRA BrokerCheck for full record
01

About

James Daniel Iii Vaughan is a registered financial advisor based in RIDGEWOOD, New Jersey, affiliated with VAUGHAN AND COMPANY SECURITIES, INC.. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Client Types
Individuals
High Net Worth Individuals
Introduction

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03

Firm Overview

Firm
VAUGHAN AND COMPANY SECURITIES, INC.
VAUGHAN AND COMPANY SECURITIES, INC.
AUM
$250M
Regulatory assets under management
Employees
7
Total firm employees
View all advisors at VAUGHAN AND COMPANY SECURITIES, INC. →
Services
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Security ratings or pricing services
Other
04

Background

Compensation
Percentage of AUM
Subscription fees
Performance-based fees
Other: SELECTION OF TPMM
Regulatory
SEC/IARD CRD# 1330813
Firm CRD# 18826
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does James Daniel Iii Vaughan offer?
James Daniel Iii Vaughan specializes in Financial Planning, Investment Management. Contact their office in RIDGEWOOD, New Jersey for a consultation.
What are James Daniel Iii Vaughan's credentials?
James Daniel Iii Vaughan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James Daniel Iii Vaughan located?
James Daniel Iii Vaughan is based in RIDGEWOOD, New Jersey, working with VAUGHAN AND COMPANY SECURITIES, INC.. Their office serves clients in the RIDGEWOOD metropolitan area and surrounding communities.
How does James Daniel Iii Vaughan charge for services?
James Daniel Iii Vaughan's firm is compensated through percentage of aum, subscription fees, performance-based fees, other: selection of tpmm. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is VAUGHAN AND COMPANY SECURITIES, INC.?
VAUGHAN AND COMPANY SECURITIES, INC. has approximately 7 employees and manages $250M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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James Daniel Vaughan
RIDGEWOOD, NJ

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