0000805870-20-000003.txt : 20200204 0000805870-20-000003.hdr.sgml : 20200204 20200204160324 ACCESSION NUMBER: 0000805870-20-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200204 DATE AS OF CHANGE: 20200204 EFFECTIVENESS DATE: 20200204 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 FILM NUMBER: 20573650 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 false true false 0000805870 XXXXXXXX 12-31-2019 12-31-2019 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 ext 1 James D. Vaughan III Ridgewood NJ 02-04-2020 0 171 110839 false INFORMATION TABLE 2 Vaughan12312019-13f.xml AAPL APPLE INCCOM 037833100 814291 2773 SH SOLE 2773 0 0 ABBV ABBVIE INC COM 00287Y109 700174 7908 SH SOLE 7908 0 0 AGG ISHARES TR CORE U SAGGREGATE BD ETF 464287226 782881 6967 SH SOLE 6967 0 0 AIG AMERICAN INTL GROUPINC COM NEW 026874784 15399 300 SH SOLE 300 0 0 AMLP ALPS ETF TR ALERIANMLP ETF 00162Q866 4734 557 SH SOLE 557 0 0 AMZN AMAZON COM INC 023135106 92392 50 SH SOLE 50 0 0 APD AIR PRODS & CHEMSINC COM 009158106 23499 100 SH SOLE 100 0 0 ATVI ACTIVISION BLIZZARDINC COM 00507V109 25312 426 SH SOLE 426 0 0 BA BOEING CO COM 097023105 167766 515 SH SOLE 515 0 0 BBH VANECK VECTORS ETFTR BIOTECH ETF 92189F726 17427 125 SH SOLE 125 0 0 BCE BCE INCCOM NEWISIN#CA05534B7604SHS 05534B760 561113 12106 SH SOLE 12106 0 0 BMO BANK OF MONTREAL 063671101 625580 8072 SH SOLE 8072 0 0 BMY BRISTOL MYERS SQUIBBCO COM 110122108 46216 720 SH SOLE 720 0 0 BND VANGUARD BD INDEXFDS VANGUARD TOTALBD 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4829 50 SH SOLE 50 0 0 IYF ISHARES TR USFINANCIALS ETF INDEXFD 464287788 2755 20 SH SOLE 20 0 0 IYH ISHARES TR U SHEALTHCARE ETF 464287762 87366 405 SH SOLE 405 0 0 JNJ JOHNSON & JOHNSONCOM 478160104 150537 1032 SH SOLE 1032 0 0 JNK SPDR SER TRBLOOMBERG BARCLAYSHIGH YIELD BD ETFNEW 78468R622 489534 4469 SH SOLE 4469 0 0 JPM JP MORGAN CHASE &CO COMISIN#US46625H1005 46625H100 153479 1101 SH SOLE 1101 0 0 KMB KIMBERLY CLARK CORPCOM 494368103 30261 220 SH SOLE 220 0 0 KO COCA COLA COMPANY 191216100 31770 574 SH SOLE 574 0 0 LOW LOWES COS INC COM 548661107 35928 300 SH SOLE 300 0 0 LTHM LIVENT CORPCOM 53814L108 795 93 SH SOLE 93 0 0 MA MASTERCARD INC CL ACOM 57636Q104 7763 26 SH SOLE 26 0 0 MBB ISHARES TR MBS ETF 464288588 28635 265 SH SOLE 265 0 0 MCD MCDONALDS CORP 580135101 118566 600 SH SOLE 600 0 0 MCHP MICROCHIP TECHNOLOGYINC COM 595017104 33719 322 SH SOLE 322 0 0 MMM 3M CO COM 88579Y101 95796 543 SH SOLE 543 0 0 MMP MAGELLAN MIDSTREAMPARTNERS LP COM UNITREPSTG LTD PARTNERINT 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464288687 95779 2548 SH SOLE 2548 0 0 PG PROCTER & GAMBLE COCOM 742718109 189723 1519 SH SOLE 1519 0 0 PIO INVESCOEXCHANGE-TRADED FDTR II GLOBAL WATERETF 46138E651 5621 182 SH SOLE 182 0 0 PM PHILIP MORRIS INTLINC COM 718172109 641663 7541 SH SOLE 7541 0 0 PPL PPL CORP COM 69351T106 748636 20865 SH SOLE 20865 0 0 QQQ INVESCO QQQ TR UNITSER 1 46090E103 172851 813 SH SOLE 813 0 0 QSY WISDOMTREE TRU S QUALITYSHAREHOLDER YIELD FD 97717W547 18970 200 SH SOLE 200 0 0 RCI ROGERSCOMMUNICATIONS INCCL B NON VOTING SHSISIN#CA7751092007 775109200 502312 10113 SH SOLE 10113 0 0 REZI RESIDEO TECHNOLOGIESINC COM 76118Y104 143 12 SH SOLE 12 0 0 ROK ROCKWELL AUTOMATIONINC COMFORMERLY ROCKWELLINTL CORP 773903109 20267 100 SH SOLE 100 0 0 SBUX STARBUCKS CORP COM 855244109 4835 55 SH SOLE 55 0 0 SHY ISHARES TR 1-3 YRTREAS BD ETF 464287457 42315 500 SH SOLE 500 0 0 SNY SANOFISPONS ADRISIN#US80105N1054 80105N105 1656 33 SH SOLE 33 0 0 SPHD INVESCOEXCHANGE-TRADED FDTR II S&P 500 HIGHDIVID LOW VOLATILITY 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VANGUARD INDEX FDSREAL ESTATE INDEX FDETF 922908553 71169 767 SH SOLE 767 0 0 VOX VANGUARD WORLD FDSVANGUARDCOMMUNICATION SVCSETF 92204A884 4696 50 SH SOLE 50 0 0 VTV VANGUARD INDEX FDSVANGUARD VALUE ETF 922908744 6352 53 SH SOLE 53 0 0 VUG VANGUARD INDEX FDSVANGUARD GROWTH ETF 922908736 87805 482 SH SOLE 482 0 0 VWO VANGUARD INTL EQUITYINDEX FDS FTSEEMERGING MKTS ETF 922042858 237870 5349 SH SOLE 5349 0 0 VYM VANGUARD WHITEHALLFDS HIGH DIVIDENDYIELD ETF SHS 921946406 81902 874 SH SOLE 874 0 0 VZ VERIZONCOMMUNICATIONS INCCOM 92343V104 650410 10593 SH SOLE 10593 0 0 WMT WALMART INCCOM 931142103 14855 125 SH SOLE 125 0 0 XLF SELECT SECTOR SPDRTR FINANCIAL 81369Y605 74887 2433 SH SOLE 2433 0 0 XLI SELECT SECTOR SPDRTR INDL 81369Y704 7658 94 SH SOLE 94 0 0 XLK SELECT SECTOR SPDRTR TECHNOLOGY 81369Y803 45835 500 SH SOLE 500 0 0 XLP SELECT SECTOR SPDRTR CONSUMER STAPLES 81369Y308 10202 162 SH SOLE 162 0 0 XLRE SELECT SECTOR SPDRTR REAL ESTATESELECT SECTOR SPDRFD 81369Y860 966 25 SH SOLE 25 0 0 XLU SELECT SECTOR SPDRTR UTILS 81369Y886 75282 1165 SH SOLE 1165 0 0 XLV SELECT SECTOR SPDRTR HEALTH CARE 81369Y209 35651 350 SH SOLE 350 0 0 XLY SELECT SECTOR SPDRTR CONSUMERDISCRETIONARY 81369Y407 12542 100 SH SOLE 100 0 0 XNTK SPDR SER TR SPDRNYSE TECH ETF 78464A102 81650 1000 SH SOLE 1000 0 0 XOM EXXON MOBIL CORP COM 30231G102 382952 5488 SH SOLE 5488 0 0