JV
James D. Vaughan
VAUGHAN AND COMPANY SECURITIES
Ridgewood, NJ 07450-9901
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CRD#: 1330813
JV
Professional summary
James Daniel Vaughan III, CFP® is a registered financial advisor currently at VAUGHAN AND COMPANY SECURITIES, INC. located in Ridgewood, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. James has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
OFFICER PENSION ADMINISTRATORS INC. RIDGEWOOD,NJ RUN DAY TO DAY OPERATIONS.BEGAN IN 1984 AND DEVOTE ABOUT 10 HOURS A WEEK OVERSEEING THE FIRM. MOST CLIENTS ARE ALSO BROKER DEALER CLIENTS. JAMES D. VAUGHAN,III ATTORNEY-AT-LAW.
CRS (Client Relationship Summary) - RIA
Click below to view James Daniel Vaughan III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1988
Experience
Current
May 20, 2011 - Present
VAUGHAN AND COMPANY SECURITIES, INC.
Office #1: 68 Passaic Street, Ridgewood, NJ 07450-9901RIA
CRD#: 18826
Ridgewood, NJ
Past
April 7, 1987 - February 23, 2021
VAUGHAN AND COMPANY SECURITIES, INC.
BD
CRD#: 18826
RIDGEWOOD, NJ
Past
February 21, 1985 - December 18, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VA
VAUGHAN AND COMPANY SECURITIES, INC.
VAUGHAN AND COMPANY SECURITIES, INC.
CRD#: 18826 / SEC#: 801-118757, 8-36916
RIA
Registered Investment Advisory firm - SEC (5/15/2020 Approved)Connecticut
Registered Investment Advisory firm - SEC (6/23/2020 Terminated)Florida
Registered Investment Advisory firm - SEC (6/22/2020 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/22/2020 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (12/31/2019 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/19/2020 Terminated)New York
Registered Investment Advisory firm - SEC (6/22/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (12/31/2019 Terminated)BD
Terminated by SEC on 02/21/2021
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New Jersey(3/26/2013)
IAR
Texas(1/5/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
VA
VAUGHAN AND COMPANY SECURITIES, INC.
VAUGHAN AND COMPANY SECURITIES, INC.
CRD#: 18826 / SEC#: 801-118757, 8-36916
RIA
Registered Investment Advisory firm - SEC (5/15/2020 Approved)Connecticut
Registered Investment Advisory firm - SEC (6/23/2020 Terminated)Florida
Registered Investment Advisory firm - SEC (6/22/2020 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/22/2020 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (12/31/2019 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/19/2020 Terminated)New York
Registered Investment Advisory firm - SEC (6/22/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (12/31/2019 Terminated)BD
Terminated by SEC on 02/21/2021
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Contact information
Main Address
68 Passaic Street, Ridgewood, NJ 07450-9901
Mailing Address
Phone number
(201) 444-1361
Established
New Jersey since 10/22/1986
Firm type
Corporation
Fiscal year end
December
# of Employees
7
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 458 |
| AUM (Assets Under Management) | $ 280,000,000 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
