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James Daniel Iii Vaughan

VAUGHAN AND COMPANY SECURITIES, INC.·RIDGEWOOD, New Jersey
SIE, Series 4, Series 7, Series 24, Series 53, Series 63, Series 65CFP15 years registeredVAUGHAN 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. · 15 years registered
Brand Profile
Not yet started
01

Career History

VAUGHAN AND COMPANY SECURITIES, INC.
May 2011 – present
02

Registrations & Exams

FINRA examinations passed
SIE
Series 4
Series 7
Series 24
Series 53
Series 63
Series 65
Registration record
First registered · May 20, 2011
Years registered · 15
Professional designation · CFP
03

Disclosure History

2000Regulatory·Final
1990Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
VAUGHAN AND COMPANY SECURITIES, INC.
CRD 18826 · SEC 801-118757
AUM
$250M
Regulatory assets under management
Employees
7
440 client accounts
Services offered by VAUGHAN AND COMPANY SECURITIES, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Security ratings or pricing services
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at VAUGHAN AND COMPANY SECURITIES, INC. →
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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 holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.
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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