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Building 2VAUGHAN AND COMPANY SECURITIES, INC.

Map pinRIDGEWOOD, NJ
Phone201 444-1361
NotebookSEC #801-118757
Total AUM
$218.9M
Employees
6
Clients
193

Firm overview

UsersClient Breakdown by AUM

Circle dollar signAUM previous 5 years

Smooth Smooth / Detailed

HotelBusiness

Principal Address
68 PASSAIC STREET
RIDGEWOOD
NJ 07450-9901
United States
Operating Hours
8:00 AM TO 5:00 PM
Monday - Friday
Phone
201 444-1361

ReceiptFinancials

Total AUM
$218.9M
Accounts
544
Discretionary
$215.7M
Accounts
532
Non-Discretionary
$3.2M
Accounts
12

ContactClients

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Individual Clients
130
AUM
$39.1M
HNW Individual Clients
60
AUM
$179.4M
Pension/Profit Sharing Plan Clients
2
AUM
$162.7K
Corporation or Business Clients
1
AUM
$203.8K

Briefcase businessServices

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Services Offered
Advisor / Fund Manager SelectionFinancial PlanningIndividual Portfolio ManagementOther ServicesPension Consulting
Other Services
CONSULTING SERVICES
Compensation Types
Charges Fixed FeeCharges Other FeeCharges Percentage AUMCharges Performance-Based
Other Compensation
SELECTION OF TPMM

Shield checkCompliance

Disclosures
Other Regulator Cause of Denial/SuspensionOther Regulator Denial/Suspension/RevocationOther Regulator Order (Past 10 Years)Other Regulator Violation FindingSRO Rule Violation
State Registrations
FLMANJNYTX

HandshakeAffiliates

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Affiliates
Reported 3 business affiliates.
Claimed Affiliates
Reported as an affiliate by 1 other business.

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