VAUGHAN AND COMPANY SECURITIES, INC.

CRD 18826File 801-118757

APPROVED

Retail clients

Disclosure events

Filing as of May 6, 2026

Feed vintage Aug 17, 2026

Regulatory AUM

$218.9M

Below cohort median (national)

Discretionary AUM

$215.7M

Non-discretionary $3.2M

Clients

193

544 accounts

Employees

Below cohort median in NJ

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: NYRO
Registration date: May 15, 2020
Principal office: 68 PASSAIC STREET, RIDGEWOOD, NJ, 07450-9901
Phone: 201 444-1361
Website: https://www.linkedin.com/company/vaughan-&-co-securities-inc/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $218.9M
Discretionary AUM: $215.7M
Non-discretionary AUM: $3.2M
Discretionary accounts: 532
Non-discretionary accounts: 12
Total accounts: 544
AUM per client: $1.1M

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	Fewer than 5	$204K
High net worth individuals	60	$179.4M
Pension and profit sharing plans	Fewer than 5	$163K
Individuals (other than high net worth individuals)	130	$39.1M

Compensation & activities

ADV Items 5E, 5G

Compensation

Other
Fixed fees
Other (described) — SELECTION OF TPMM
Performance-based fees
A percentage of assets under your management

Advisory activities

Other advisory activities
Financial planning services
Selection of other advisers
Portfolio management for other
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

Q11
Q11D2
Q11D3
Q11D4
Q11D5
Q11E2

Filed changes

Date	Field	From	To
Aug 12, 2026	Registration	—	APPROVED

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.