At Vaughan & Co. Securities, Inc. we maintain a strict code of ethics in our professional relationships. For more information about our Firm’s compliance programs, read our documents below.

  1. Adv Part 2A: Firm Brochure
  2. Adv Part 2B: Brochure Supplement: James D Vaughan III
  3. Adv Part 2B: Brochure Supplement: Kevin Leeds
  4. Adv Part 2B: Brochure Supplement: Tyler Kennedy
  5. Adv Part 3: Client Relationship Summary
  6. Order Routing/Best Execution
  7. Business Continuity Plan
  8. Privacy Notice
  9. Code of Ethics

Contact us if you have questions about pre-retirement investment advising services. We proudly serve clients in Ridgewood, Bergen County, and throughout the greater Northern NJ area.