CRD #18826 · FINRA BrokerCheck + SEC IAPD

Vaughan and Company Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vaughan and Company Securities, Inc. ranks #1,936 of 20,055 by disclosure count (most disclosures first). Vaughan and Company Securities, Inc. carries 4 BrokerCheck disclosures across 1 branch office - heavy load for a single-office firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
1
branch office
4
disclosures
#1,936 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 18826 Vaughan and Company Securities, Inc.

Vaughan and Company Securities, Inc. · Grade C · 4 disc · 4.00/office · Single-office firm

  • CRD 18826
  • GRADE C
  • DISC 4
  • REG 4
  • ARB 0
  • CIV 0
  • BRANCH 1
  • PER-OFF 4.00
  • RANK #1,936 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1792 Securities, LLC (4.00 disc/office)

1792 Securities, LLC4.001ST Global Capital Corp.4.00A. CH. Securities, Inc.4.00Vaughan and Company… (this)4.00
Disclosures per office among single-office firm peers (lower is cleaner)

Vaughan and Company Securities, Inc. ranks #1,936 of 20,055 by disclosure count among graded broker-dealers; heavy load at 4.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

1 office

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

4 actions

100% of all disclosures

Disclosures per office

4.00 per office

4 ÷ 1 offices

Vaughan and Company Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

4 a cleaner per-office record than 1% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). Below this entry. 4–4: 3 disclosing firms (0%). Below this entry. 4–4: 9 disclosing firms (1%). This entry sits in this band. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 0
Civil Events 0
Total 4

Counts for Vaughan and Company Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
CRD Number
18826

Regulator-heavy mix

Vaughan and Company Securities, Inc. in the heavier-disclosure third

Vaughan and Company Securities, Inc. carries 4 BrokerCheck disclosures across 1 branch office - a heavier-third raw book among graded firms (#1,936 of 20,055). Regulator-initiated events are 100% of the book (4 regulatory / 0 arbitration / 0 civil).

100% of Vaughan and Company Securities, Inc.'s 4 disclosures are regulator-initiated (4 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Vaughan and Company Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Vaughan and Company Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vaughan and Company Securities, Inc. ranks #1,936 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Vaughan and Company Securities, Inc.?
A grade of C reflects Vaughan and Company Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 4 total disclosures across 1 branch office. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Vaughan and Company Securities, Inc. have?
Vaughan and Company Securities, Inc. has 4 total FINRA disclosures, including 4 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Vaughan and Company Securities, Inc.?
Vaughan and Company Securities, Inc. operates 1 branch office and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Vaughan and Company Securities, Inc.'s disciplinary record?
You can verify Vaughan and Company Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 18826. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on BrokerCheck. For Vaughan and Company Securities, Inc., the 4.00 per-office intensity is the size-normalized signal behind Grade C.
Should I avoid Vaughan and Company Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Vaughan and Company Securities, Inc. carries 4 disclosures across 1 branch office (about 4.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • 1792 Securities, LLC - 4.00 disclosures/office, nearest single-office firm peer to Vaughan and Company Securities, Inc.'s 4.00
  • 1ST Global Capital Corp. - 4.00 disclosures/office, nearest single-office firm peer to Vaughan and Company Securities, Inc.'s 4.00
  • A. CH. Securities, Inc. - 4.00 disclosures/office, nearest single-office firm peer to Vaughan and Company Securities, Inc.'s 4.00
  • Red Flags in Advisor Records - How to read Vaughan and Company Securities, Inc.'s heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 4 disclosures behind Vaughan and Company Securities, Inc.'s Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Vaughan and Company Securities, Inc..
  • Compare firms - put Vaughan and Company Securities, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.