Vaughan and Company Securities, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$218,505,300
Clients
190
Advisors
2
of 6 employees
About
Vaughan & Co. Securities, Inc. provides discretionary investment advisory services primarily to individual and high‑net‑worth clients, and to pension, profit‑sharing and 401(k) plan sponsors. Its service offerings include individual portfolio management, financial planning, retirement plan consulting, held‑away account management, and acting as a solicitor to refer clients to third‑party investment managers.
Portfolios are managed in accordance with clients’ stated objectives and written investment policy statements, with analysis that includes fundamental, quantitative and cyclical methods, periodic reviews and rebalancing. The firm also uses third‑party managers when appropriate and offers held‑away oversight via a third‑party aggregation platform to review and rebalance employer‑sponsored retirement accounts.
Distinctive features disclosed in the firm’s brochure include the availability of performance‑based fee arrangements for qualified clients and formal solicitor and fee‑sharing relationships with other registered advisers. Vaughan & Co. is affiliated with a retirement plan administration entity (Pension Administrators, Inc.), notes that a firm principal is a licensed attorney who does not provide legal services to advisory clients, and discloses a prior NASD disciplinary action involving supervisory deficiencies.
Client services
Expertise
Occupation focus
Fee options
$1,500 to $2,500 for Financial Planning and Consulting Services, fixed fee basis
$0 - $500,000: 1.50% Over $500,000 - $1,000,000: 1.40% Over $1,000,000 - $2,000,000: 1.30% Over $2,000,000 - $3,500,000: 1.20% Over $3,500,000 - $5,000,000: 1.10% Over $5,000,000 - $7,500,000: 1.00% Over $7,500,000 - $10,000,000: 0.80% Over $10,000,000 - $15,000,000: 0.60% Over $15,000,000 - $20,000,000: 0.40% Over $20,000,000 - $30,000,000: 0.30% Over $30,000,000 - $40,000,000: 0.25% Over $40,000,000 - $50,000,000: 0.20% Over $50,000,000 - Negotiable:
10% of investment gains on Dividend Growth Program with conditions; performance-based fees require clients to have either $1,000,000 under management or net worth of $2,100,000
Account minimum: $1,000,000
Main office
68 Passaic Street
Ridgewood NJ 07450-9901
Advisors at this office
2
Most active in
Florida · Massachusetts · New Jersey · New York · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Quick links
Advisors at this firm
Tyler K
Series 65
Ridgewood, NJ
Vaughan and Company Securities, Inc.
Tyler Kennedy is a financial advisor at Vaughan and Company Securities, Inc. with four years of industry experience. He holds a Series 65 credential and has previously worked at Betterment. Vaughan and Company Securities, Inc. provides discretionary investment advisory services primarily to individual and high-net-worth clients, as well as pension, profit-sharing, and 401(k) plan sponsors. The firm’s investment approach includes individual portfolio management, financial planning, and the use of third-party managers, with strategies aligned to clients’ objectives and reviewed regularly.
James V
CFP®, Series 63, Series 65
Ridgewood, NJ
Vaughan and Company Securities, Inc.
James Vaughan III is a CFP® professional with 40 years of experience in the financial services industry. He has been with Vaughan and Company Securities, Inc. since 1986 and also served on the faculty of Fairleigh Dickinson University for 14 years. In addition to his advisory role, he oversees the day-to-day operations of Officer Pension Administrators Inc., a retirement plan administration firm. Vaughan is also an attorney-at-law. Vaughan and Company Securities, Inc. provides investment advisory and financial planning services to individuals, pension and profit-sharing plans, and businesses, managing both discretionary and non-discretionary assets. The firm employs a diversified investment approach incorporating fundamental, cyclical, and quantitative analysis, and offers services including portfolio management, pension consulting, and 529 education account management.
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