James D. Vaughan

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CRD#: 453737

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Daniel Vaughan JR was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1965. James had worked at 10 firms and has passed the SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 1, 2014 - June 22, 2020

VAUGHAN AND COMPANY SECURITIES, INC.

RIA

CRD#: 18826

RIDGEWOOD, NJ

Past

October 2, 1989 - December 31, 2020

VAUGHAN AND COMPANY SECURITIES, INC.

CRD#: 18826

RIDGEWOOD, NJ

Past

November 14, 1984 - December 31, 1988

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

December 5, 1983 - February 18, 1987

W.D.R. EQUITY RESOURCES, INC.

CRD#: 14241

Past

March 8, 1982 - November 9, 1984

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Past

February 15, 1979 - December 15, 1981

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Past

April 17, 1975 - January 14, 1979

MHL INVESTMENTS

CRD#: 2535

Past

October 17, 1973 - February 10, 1975

F. L. PUTNAM & COMPANY, INC.

CRD#: 6305

Past

October 27, 1972 - October 19, 1973

GENESEE VALLEY SECURITIES CO INC

CRD#: 1000003

Past

February 15, 1972 - December 8, 1974

AMA INVESTMENT ADVISERS, INC.

CRD#: 678

Past

June 28, 1965 - April 13, 1972

MODERN AMERICA SECURITIES CORPORATION

CRD#: 586

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".

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)

Terminated by SEC on 02/21/2021

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 6/25/1965

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/6/2001

General Securities Principal Examination

Current Firm

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)

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

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (2/18/2025)

Direct owners and executive officers

Name	Position	CRD#
JAMES D. VAUGHAN JR.GRANTOR TRUST	SHAREHOLDER
VAUGHAN, JAMES DANIEL III	CHIEF COMPLIANCE OFFICER	1330813
VAUGHAN, JAMES DANIEL III	CEO, CFO, PRESIDENT, TRUSTEE	1330813
VAUGHAN, JAMES DANIEL JR	REGISTERED REPRESENTATIVE	453737

Regulatory assets under management

Total Number of Accounts	458
AUM (Assets Under Management)	$ 280,000,000

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James D. Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VAUGHAN AND COMPANY SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

W.D.R. EQUITY RESOURCES, INC.

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

PRINCIPAL SECURITIES, INC.

MHL INVESTMENTS

F. L. PUTNAM & COMPANY, INC.

GENESEE VALLEY SECURITIES CO INC

AMA INVESTMENT ADVISERS, INC.

MODERN AMERICA SECURITIES CORPORATION

Primary Firm SEC Registration

VAUGHAN AND COMPANY SECURITIES, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 1

Date: 6/25/1965

Series 24

Date: 2/6/2001

Current Firm

VAUGHAN AND COMPANY SECURITIES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VAUGHAN AND COMPANY SECURITIES, INC.

TRUST BUT VERIFY

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