0000805870-20-000006.txt : 20200528 0000805870-20-000006.hdr.sgml : 20200528 20200528152635 ACCESSION NUMBER: 0000805870-20-000006 CONFORMED SUBMISSION TYPE: 13F-HR CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200528 DATE AS OF CHANGE: 20200528 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VAUGHAN AND COMPANY SECURITIES, INC. CENTRAL INDEX KEY: 0000805870 IRS NUMBER: 222578806 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19745 BUSINESS ADDRESS: STREET 1: 68 PASSAIC STREET CITY: RIDGEWOOD STATE: NJ ZIP: 07450-9998 BUSINESS PHONE: 201-444-1361 MAIL ADDRESS: STREET 1: 68 PASSAIC STREET CITY: RIDGEWOOD STATE: NJ ZIP: 07450-9998 FORMER COMPANY: FORMER CONFORMED NAME: VAUGHAN & CO SECURITIES INC /BD DATE OF NAME CHANGE: 20020301 13F-HR 1 primary_doc.xml 13F-HR LIVE true false false 0000805870 XXXXXXXX 028-19745 03-31-2020 03-31-2020 VAUGHAN AND COMPANY SECURITIES, INC.

68 PASSAIC STREET RIDGEWOOD NJ 07450-9998

13F HOLDINGS REPORT 028-19745 N James D. Vaughan III 201-444-1361 James D. Vaughan III Ridgewood NJ 05-28-2020 0 164 78694 false INFORMATION TABLE 2 vaughan03312020.xml AAPL APPLE INCCOM 037833100 648439 2550 SH SOLE 0 2550 0 0 ABBV ABBVIE INC COM 00287Y109 597329 7840 SH SOLE 0 7840 0 0 AGG ISHARES TR CORE U SAGGREGATE BD ETF 464287226 442674 3837 SH SOLE 0 3837 0 0 AIG AMERICAN INTL GROUPINC COM NEW 026874784 4850 200 SH SOLE 0 200 0 0 AMLP ALPS ETF TR ALERIANMLP ETF 00162Q866 1286 374 SH SOLE 0 374 0 0 AMZN AMAZON COM INC 023135106 97486 50 SH SOLE 0 50 0 0 APD AIR PRODS & CHEMSINC COM 009158106 19961 100 SH SOLE 0 100 0 0 ATVI ACTIVISION BLIZZARDINC COM 00507V109 25338 426 SH SOLE 0 426 0 0 BA BOEING CO COM 097023105 74570 500 SH SOLE 0 500 0 0 BBH VANECK VECTORS ETFTR BIOTECH ETF 92189F726 16000 125 SH SOLE 0 125 0 0 BCE BCE INCCOM NEWISIN#CA05534B7604SHS 05534B760 488971 11967 SH SOLE 0 11967 0 0 BMO BANK OF MONTREAL 063671101 405698 8072 SH SOLE 0 8072 0 0 BMY BRISTOL MYERS SQUIBBCO COM 110122108 40132 720 SH SOLE 0 720 0 0 BND VANGUARD BD INDEXFDS VANGUARD TOTALBD MARKET ETF 921937835 51210 600 SH SOLE 0 600 0 0 BRK B BERKSHIRE HATHAWAYINC DEL CL B NEW 084670702 43147 236 SH SOLE 0 236 0 0 BSV VANGUARD BD INDEXFDS VANGUARD SHORTTERM BD ETF 921937827 49308 600 SH SOLE 0 600 0 0 CAT CATERPILLAR INC COM 149123101 17406 150 SH SOLE 0 150 0 0 CGW INVESCOEXCHANGE-TRADED FDTR II S&P GLOBALWATER INDEX ETF 46138E263 3150 95 SH SOLE 0 95 0 0 CI CIGNA CORP NEW COM 125523100 8859 50 SH SOLE 0 50 0 0 CL COLGATE PALMOLIVE COCOM 194162103 13272 200 SH SOLE 0 200 0 0 CLBK COLUMBIA FINL INCCOM 197641103 14400 1000 SH SOLE 0 1000 0 0 CM CANADIAN IMPERIAL BKOF COMMERCE 136069101 398949 6882 SH SOLE 0 6882 0 0 CNI CANADIAN NATL RY COCOMISIN#CA1363751027 136375102 15526 200 SH SOLE 0 200 0 0 CNP CENTERPOINT ENERGYINC COM 15189T107 308660 19978 SH SOLE 0 19978 0 0 CP CANADIAN PAC RY LTDCOMISIN#CA13645T1003 13645T100 21959 100 SH SOLE 0 100 0 0 CQP CHENIERE ENERGYPARTNERS L P COMUNIT REPTG LIMITEDPARTNER INTS 16411Q101 351048 12997 SH SOLE 0 12997 0 0 CRM SALESFORCE.COM INCCOM STOCK 79466L302 28508 198 SH SOLE 0 198 0 0 CSX CSX CORPCOM 126408103 11460 200 SH SOLE 0 200 0 0 CTVA CORTEVA INC COM 22052L104 1997 85 SH SOLE 0 85 0 0 CVX CHEVRON CORP NEW COM 166764100 399616 5515 SH SOLE 0 5515 0 0 CWB SPDR SER TRBLOOMBERG BARCLAYS US CONV LIQUID BDINDEX 78464A359 157028 3281 SH SOLE 0 3281 0 0 D DOMINION ENERGY INCCOM 25746U109 7219 100 SH SOLE 0 100 0 0 DD DUPONT DE NEMOURSINC COM 26614N102 2898 85 SH SOLE 0 85 0 0 DEM WISDOMTREE TREMERGING MKTS HIGHDIVID FD 97717W315 2639049 81831 SH SOLE 0 81831 0 0 DES WISDOMTREE TRU S SMALLCAP DIVIDFD 97717W604 9113631 505750 SH SOLE 0 505750 0 0 DGRW WISDOMTREE TR USQUALITY DIVID GROWTHFD 97717X669 48170 1238 SH SOLE 0 1238 0 0 DHS WISDOMTREE TRU S HIGH DIVID FD 97717W208 211853 3743 SH SOLE 0 3743 0 0 DIS DISNEY WALT CODISNEY COM 254687106 88389 915 SH SOLE 0 915 0 0 DOW DOW INCCOM 260557103 4356 149 SH SOLE 0 149 0 0 DVY ISHARES TR SELECTDIVID ETF FD 464287168 791069 10757 SH SOLE 0 10757 0 0 EEM ISHARES TR MSCIEMERGING MKTS INDEXFD 464287234 409 12 SH SOLE 0 12 0 0 EFA ISHARES TR MSCI EAFEETF 464287465 32076 600 SH SOLE 0 600 0 0 EFAV ISHARES TR MSCI EAFEMINIMUM VOLATILITYETF 46429B689 5054779 81463 SH SOLE 0 81463 0 0 ELD WISDOMTREE TREMERGING MKTS LOCDEBT FD 97717X867 62603 2120 SH SOLE 0 2120 0 0 EMHY ISHARES INC EMERGINGMKTS HIGH YIELD BDETF 464286285 70983 1867 SH SOLE 0 1867 0 0 EPD ENTERPRISE PRODSPARTNERS L P COMUNIT 293792107 348491 24370 SH SOLE 0 24370 0 0 ES EVERSOURCE ENERGYCOM 30040W108 11731 150 SH SOLE 0 150 0 0 ESML ISHARES TR ESG MSCIUSA SMALL-CAP ETFOPTIMIZED ETF 46435U663 148168 7427 SH SOLE 0 7427 0 0 FB FACEBOOK INC CL A 30303M102 37530 225 SH SOLE 0 225 0 0 FDN FIRST TREXCHANGE-TRADED FDDOW JONES INTERNETINDEX FD 33733E302 37119 300 SH SOLE 0 300 0 0 FM ISHARES INC MSCIFRONTIER 100 ETF 464286145 7728 362 SH SOLE 0 362 0 0 FMC FMC CORP NEW 302491303 20422 250 SH SOLE 0 250 0 0 FUN CEDAR FAIR L P UNITLTD PARTNERSHIP INT 150185106 194825 10623 SH SOLE 0 10623 0 0 GIS GENERAL MILLS INCCOM 370334104 15831 300 SH SOLE 0 300 0 0 GOOG ALPHABET INC CAP STKCL C 02079K107 106978 92 SH SOLE 0 92 0 0 GOOGL ALPHABET INC CL A 02079K305 46478 40 SH SOLE 0 40 0 0 GSK GLAXOSMITHKLINE PLCSPONS ADR 37733W105 480672 12686 SH SOLE 0 12686 0 0 GSLC GOLDMAN SACHS ETF TRACTIVEBETA U S LARGECAP EQUITY ETF 381430503 9270718 177634 SH SOLE 0 177634 0 0 GT GOODYEAR TIRE & RUBRCO COM 382550101 228819 39316 SH SOLE 0 39316 0 0 GTX GARRETT MOTION INCCOM 366505105 20 7 SH SOLE 0 7 0 0 HDV ISHARES TR CORE HIGHDIVID ETF 46429B663 7917579 110658 SH SOLE 0 110658 0 0 HON HONEYWELL INTL INCCOM 438516106 120411 900 SH SOLE 0 900 0 0 HSY HERSHEY CO COM 427866108 19875 150 SH SOLE 0 150 0 0 HYG ISHARES TR IBOXX $HIGH YIELD CORP BDETF 464288513 79150 1027 SH SOLE 0 1027 0 0 IBB ISHARES TR NASDAQBIOTECHNOLOGY ETF 464287556 56563 525 SH SOLE 0 525 0 0 IBM INTERNATIONALBUSINESS MACHS CORPCOM 459200101 121579 1096 SH SOLE 0 1096 0 0 ICF ISHARES TR COHEN &STEERS REIT ETF 464287564 443064 4838 SH SOLE 0 4838 0 0 IDV ISHARES TR INTLSELECT DIVID ETFINDEX FD 464288448 14531 643 SH SOLE 0 643 0 0 IEF ISHARES TR BARCLAYS7-10 YR TREAS BD ETF 464287440 43732 360 SH SOLE 0 360 0 0 IEFA ISHARES TR CORE MSCIEAFE ETF 46432F842 417878 8376 SH SOLE 0 8376 0 0 IEMG ISHARES INC COREMSCI EMERGING MKTSETF 46434G103 3003197 74208 SH SOLE 0 74208 0 0 IGIB ISHARES TRINTERMEDIATE-TERM CRBD ETF 464288638 21968 400 SH SOLE 0 400 0 0 IGLB ISHARES TRLONG-TERM CORP BDETF 464289511 31364 493 SH SOLE 0 493 0 0 IGM ISHARES TR EXPANDEDTECH SECTOR ETF 464287549 8470 40 SH SOLE 0 40 0 0 IHF ISHARES TR US HEALTHCARE PROVIDERS ETF 464288828 16671 100 SH SOLE 0 100 0 0 IHI ISHARES TR DOW JONESUS MEDICAL DEVICESINDEX 464288810 27042 120 SH SOLE 0 120 0 0 IJS ISHARES TR S&PSMALL-CAP 600 VALUEETF 464287879 519688 5200 SH SOLE 0 5200 0 0 IJT ISHARES TR S&PSMALL-CAP 600 GROWTHETF 464287887 449285 3259 SH SOLE 0 3259 0 0 IP INTERNATIONAL PAPERCO COM 460146103 15565 500 SH SOLE 0 500 0 0 ISRG INTUITIVE SURGICALINC COM NEW 46120E602 2476 5 SH SOLE 0 5 0 0 ITA ISHARES TR USAEROSPACE & DEFENSEETF 464288760 4603 32 SH SOLE 0 32 0 0 ITOT ISHARES TR CORE S&PTOTAL U S STK MKTETF 464287150 79121 1383 SH SOLE 0 1383 0 0 IVW ISHARES TR S&P 500GROWTH ETF 464287309 182710 1107 SH SOLE 0 1107 0 0 IWD ISHARES TR RUSSELL1000 VALUE ETF 464287598 88766 895 SH SOLE 0 895 0 0 IWF ISHARES TR RUSSELL1000 GROWTH ETF 464287614 9650940 64062 SH SOLE 0 64062 0 0 IWN ISHARES TR RUSSELL2000 VALUE ETF 464287630 426145 5195 SH SOLE 0 5195 0 0 IWO ISHARES TR RUSSELL2000 GROWTH ETF 464287648 11595759 73312 SH SOLE 0 73312 0 0 IWP ISHARES TR RUSSELLMID-CAP GROWTH ETF 464287481 34409 283 SH SOLE 0 283 0 0 IWS ISHARES TR RUSSELLMID-CAP VALUE ETF 464287473 38197 596 SH SOLE 0 596 0 0 IWY ISHARES TR RUSSELL200 GROWTH NDEX FD 464289438 4210 50 SH SOLE 0 50 0 0 IYF ISHARES TR USFINANCIALS ETF INDEXFD 464287788 1945 20 SH SOLE 0 20 0 0 IYH ISHARES TR U SHEALTHCARE ETF 464287762 76059 405 SH SOLE 0 405 0 0 JNJ JOHNSON & JOHNSONCOM 478160104 130474 995 SH SOLE 0 995 0 0 JNK SPDR SER TRBLOOMBERG BARCLAYSHIGH YIELD BD ETFNEW 78468R622 302315 3191 SH SOLE 0 3191 0 0 JPM JP MORGAN CHASE &CO COMISIN#US46625H1005 46625H100 99123 1101 SH SOLE 0 1101 0 0 KMB KIMBERLY CLARK CORPCOM 494368103 28131 220 SH SOLE 0 220 0 0 KO COCA COLA COMPANY 191216100 22125 500 SH SOLE 0 500 0 0 LOW LOWES COS INC COM 548661107 25815 300 SH SOLE 0 300 0 0 LTHM LIVENT CORPCOM 53814L108 488 93 SH SOLE 0 93 0 0 MA MASTERCARD INC CL ACOM 57636Q104 6280 26 SH SOLE 0 26 0 0 MBB ISHARES TR MBS ETF 464288588 29266 265 SH SOLE 0 265 0 0 MCD MCDONALDS CORP 580135101 99210 600 SH SOLE 0 600 0 0 MCHP MICROCHIP TECHNOLOGYINC COM 595017104 21831 322 SH SOLE 0 322 0 0 MMM 3M CO COM 88579Y101 71667 525 SH SOLE 0 525 0 0 MMP MAGELLAN MIDSTREAMPARTNERS LP COM UNITREPSTG LTD PARTNERINT 559080106 362491 9934 SH SOLE 0 9934 0 0 MO ALTRIA GROUP INC COM 02209S103 435656 11266 SH SOLE 0 11266 0 0 MPC MARATHON PETE CORPCOM 56585A102 377 16 SH SOLE 0 16 0 0 MRK MERCK & CO INC NEWCOM 58933Y105 33084 430 SH SOLE 0 430 0 0 MSFT MICROSOFT CORPCOM 594918104 67184 426 SH SOLE 0 426 0 0 MUB ISHARES TR NATL MUNBD ETF FD 464288414 482552 4270 SH SOLE 0 4270 0 0 NEE NEXTERA ENERGY INCCOM 65339F101 24062 100 SH SOLE 0 100 0 0 NLSN NIELSEN HOLDINGS PLCSHSISIN#GB00BWFY5505 G6518L108 173766 13857 SH SOLE 0 13857 0 0 NSC NORFOLK SOUTHN CORPCOM 655844108 14600 100 SH SOLE 0 100 0 0 NYCB NEW YORK CMNTYBANCORP INC COM 649445103 419667 44693 SH SOLE 0 44693 0 0 OLN OLIN CORP COM PAR $1 680665205 324834 27835 SH SOLE 0 27835 0 0 PBCT PEOPLES UTD FINL INCCOM 712704105 356771 32287 SH SOLE 0 32287 0 0 PEG PUBLIC SVCENTERPRISE GROUPINC COM 744573106 1347 30 SH SOLE 0 30 0 0 PEP PEPSICO INCCOM 713448108 72060 600 SH SOLE 0 600 0 0 PFE PFIZER INC COM 717081103 462998 14185 SH SOLE 0 14185 0 0 PFF ISHARES TR PFD &INCOME SECS ETF 464288687 81128 2548 SH SOLE 0 2548 0 0 PG PROCTER & GAMBLE COCOM 742718109 159500 1450 SH SOLE 0 1450 0 0 PIO INVESCOEXCHANGE-TRADED FDTR II GLOBAL WATERETF 46138E651 4460 182 SH SOLE 0 182 0 0 PM PHILIP MORRIS INTLINC COM 718172109 550191 7541 SH SOLE 0 7541 0 0 PPL PPL CORP COM 69351T106 510505 20685 SH SOLE 0 20685 0 0 QQQ INVESCO QQQ TR UNITSER 1 46090E103 144323 758 SH SOLE 0 758 0 0 QSY WISDOMTREE TRU S QUALITYSHAREHOLDER YIELD FD 97717W547 12946 200 SH SOLE 0 200 0 0 RCI ROGERSCOMMUNICATIONS INCCL B NON VOTING SHSISIN#CA7751092007 775109200 419992 10113 SH SOLE 0 10113 0 0 REZI RESIDEO TECHNOLOGIESINC COM 76118Y104 58 12 SH SOLE 0 12 0 0 ROK ROCKWELL AUTOMATIONINC COMFORMERLY ROCKWELLINTL CORP 773903109 15091 100 SH SOLE 0 100 0 0 SBUX STARBUCKS CORP COM 855244109 3615 55 SH SOLE 0 55 0 0 SHY ISHARES TR 1-3 YRTREAS BD ETF 464287457 43335 500 SH SOLE 0 500 0 0 SPHD INVESCOEXCHANGE-TRADED FDTR II S&P 500 HIGHDIVID LOW VOLATILITY 46138E362 37992 1266 SH SOLE 0 1266 0 0 STOR STORE CAP CORP COM 862121100 15691 866 SH SOLE 0 866 0 0 SYK STRYKER CORP 863667101 58271 350 SH SOLE 0 350 0 0 T AT&T INC COM 00206R102 7287 250 SH SOLE 0 250 0 0 TIP ISHARES TR TIPS BDETF 464287176 28890 245 SH SOLE 0 245 0 0 TPR TAPESTRY INCCOM 876030107 289833 22381 SH SOLE 0 22381 0 0 TRTN TRITON INTERNATIONALLTD SHS -A-ISIN#BMG9078F1077 G9078F107 517037 19986 SH SOLE 0 19986 0 0 TU TELUS CORPCOMISIN#CA87971M1032 87971M103 490274 31360 SH SOLE 0 31360 0 0 UNH UNITEDHEALTH GROUPINC COM 91324P102 24938 100 SH SOLE 0 100 0 0 UNP UNION PAC CORP COM 907818108 132577 940 SH SOLE 0 940 0 0 UPS UNITED PARCEL SVCINC CL B 911312106 11677 125 SH SOLE 0 125 0 0 UTX UNITED TECHNOLOGIESCORP COM 913017109 70747 750 SH SOLE 0 750 0 0 V VISA INC COM CL A 92826C839 119712 743 SH SOLE 0 743 0 0 VCSH VANGUARD SCOTTSDALEFDS VANGUARDSHORT-TERM CORPORATEBD INDEX FD 92206C409 23730 300 SH SOLE 0 300 0 0 VGT VANGUARD INFORMATIONTECHNOLOGY ETF 92204A702 67808 320 SH SOLE 0 320 0 0 VNQ VANGUARD INDEX FDSREAL ESTATE INDEX FDETF 922908553 53574 767 SH SOLE 0 767 0 0 VOX VANGUARD WORLD FDSVANGUARDCOMMUNICATION SVCSETF 92204A884 3809 50 SH SOLE 0 50 0 0 VTV VANGUARD INDEX FDSVANGUARD VALUE ETF 922908744 6056 68 SH SOLE 0 68 0 0 VUG VANGUARD INDEX FDSVANGUARD GROWTH ETF 922908736 75524 482 SH SOLE 0 482 0 0 VWO VANGUARD INTL EQUITYINDEX FDS FTSEEMERGING MKTS ETF 922042858 179458 5349 SH SOLE 0 5349 0 0 VYM VANGUARD WHITEHALLFDS HIGH DIVIDENDYIELD ETF SHS 921946406 61835 874 SH SOLE 0 874 0 0 VZ VERIZONCOMMUNICATIONS INCCOM 92343V104 561854 10457 SH SOLE 0 10457 0 0 WMT WALMART INCCOM 931142103 14202 125 SH SOLE 0 125 0 0 XLF SELECT SECTOR SPDRTR FINANCIAL 81369Y605 46845 2250 SH SOLE 0 2250 0 0 XLI SELECT SECTOR SPDRTR INDL 81369Y704 5546 94 SH SOLE 0 94 0 0 XLK SELECT SECTOR SPDRTR TECHNOLOGY 81369Y803 40185 500 SH SOLE 0 500 0 0 XLP SELECT SECTOR SPDRTR CONSUMER STAPLES 81369Y308 6808 125 SH SOLE 0 125 0 0 XLU SELECT SECTOR SPDRTR UTILS 81369Y886 61505 1110 SH SOLE 0 1110 0 0 XLV SELECT SECTOR SPDRTR HEALTH CARE 81369Y209 26574 300 SH SOLE 0 300 0 0 XLY SELECT SECTOR SPDRTR CONSUMERDISCRETIONARY 81369Y407 9808 100 SH SOLE 0 100 0 0 XNTK SPDR SER TR SPDRNYSE TECH ETF 78464A102 73200 1000 SH SOLE 0 1000 0 0 XOM EXXON MOBIL CORP COM 30231G102 203177 5351 SH SOLE 0 5351 0 0