Compliance

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: Robert C Jenkins
4. Order Routing/Best Execution
5. Business Continuity Plan
6. Privacy Notice
7. 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.