Unclaimed Profile

James Daniel Vaughan

VAUGHAN AND COMPANY SECURITIES, INC.·RIDGEWOOD, New Jersey

SIE, Series 1, Series 2412 years registeredVAUGHAN AND COMPANY SECURITIES, INC.

68 PASSAIC STREET, RIDGEWOOD, NJ 07450-9901CRD# 453737Firm CRD# 18826

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Daniel Vaughan · RIDGEWOOD, NJ

Registration

CRD #453737 · VAUGHAN AND COMPANY SECURITIES, INC. · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: VAUGHAN AND COMPANY SECURITIES, INC.

VAUGHAN AND COMPANY SECURITIES, INC.

Apr 2014 – Jun 2020

RIDGEWOOD, NJ

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 24

Registration record

First registered · April 1, 2014

Years registered · 12

Disclosure History

2000Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

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

Firm Overview

Firm

VAUGHAN AND COMPANY SECURITIES, INC.

CRD 18826 · SEC 801-118757

AUM

$250M

Regulatory assets under management

Employees

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. →

Introduction

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Frequently Asked Questions

What services does James Daniel Vaughan offer?

James Daniel Vaughan specializes in Financial Planning, Investment Management.

What are James Daniel Vaughan's credentials?

James Daniel Vaughan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Daniel Vaughan located?

James Daniel Vaughan is based in RIDGEWOOD, New Jersey, last registered with VAUGHAN AND COMPANY SECURITIES, INC..

How does James Daniel Vaughan charge for services?

James Daniel 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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