James VaughanCRD Number: 1330813
Current Firm: Vaughan And Company Securities, Inc.
James Vaughan (CRD# 1330813) is an Investment Advisor Representative working at Vaughan And Company Securities, Inc. in Ridgewood, NJ and has over 37 years of experience in the finance industry. James Vaughan has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Legacy Care Wealth, LLC
Financial Life Focus, LLC
Park Avenue Securities LLC
|Fairleigh Dickinson University||Teaneck, NJ||Oct 2008 - Current||13|
|Vaughan And Company Securities, Inc.||Ridgewood, NJ||Apr 1986 - Current||36|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1985|
|S65||NASAA Investment Advisors Law Examination||Oct 2011|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management275MILLIONS
Total Number of Accounts477ACCOUNTS
Average Account Value$576,520
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
FL, MA, NJ, NY, TX
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