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VAUGHAN AND COMPANY SECURITIES, INC.
CRD 18826 · SEC 801-118757
68 PASSAIC STREET, RIDGEWOOD, NJ, 07450-9901, United States
Phone
201 444-1361
Fax
201-670-1352
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$218.9M
Discretionary AUM
$215.7M
Team
6 total employees; 4 advisory reps; 4 broker-dealer reps
Clients
101-250
Fees
Percentage of AUM; Fixed fees; Performance-based fees; SELECTION OF TPMM
Org form
Corporation
Filing date
2026-05-06
Disciplinary history
Yes
Services
Financial planningPortfolio management (individuals)Pension consultingSelection of other advisersCONSULTING SERVICES
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 130 | $39.1M |
| High net worth individuals | 60 | $179.4M |
| Pension/profit sharing plans | 2 | $163K |
| Corporations/business entities | 1 | $204K |
States served
MA, NJ, NY, TX, FL
All web addresses on file
Official SEC filing: View on IAPD