VAUGHAN AND COMPANY SECURITIES, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	New Jersey, United States

Employees

Total Number of Employees	6
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	4
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	430	$230.0M
Non-Discretionary	10	$20.0M
Total	440	$250.0M

Clients

Type	Number	RAUM
Individuals	131	$60.0M
HNW Individuals	58	$170.0M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	10	$20.0M
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	101-250

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)CONSULTING SERVICES
Compensation	% of AUMFixed feesPerformance-based feesSELECTION OF TPMM
Other Business Activities	WEALTH PLANNING

Identifiers

SEC RIA File Number	801-118757
SEC ERA File Number	801-118757
SEC CIK Numbers	805870
SEC CRD Numbers	18826
Legal Entity Identifier	None

Principal Office

68 PASSAIC STREET
RIDGEWOOD
NJ
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic