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.
- Adv Part 2A: Firm Brochure
- Adv Part 2B: Brochure Supplement: James D Vaughan III
- Adv Part 2B: Brochure Supplement: Kevin Leeds
- Adv Part 2B: Brochure Supplement: Tyler Kennedy
- Adv Part 3: Client Relationship Summary
- Order Routing/Best Execution
- Business Continuity Plan
- Privacy Notice
- 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.
