Diane Marie Hansen

Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2024-02-08
NC	RA	APPROVED	2014-06-03
TX	RA	APPROVED	2014-06-03

KS RA
APPROVED

Since 2024-02-08
NC RA
APPROVED

Since 2014-06-03
TX RA
APPROVED

Since 2014-06-03

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
The Vanguard Group, Inc.	Charlotte	NC	09/2010	Present
Vanguard Marketing Corporation	Charlotte	NC	09/2010	Present
Vanguard Advisers, Inc.	Charlotte	NC	06/2014	Present

09/2010 → Present

The Vanguard Group, Inc.

Charlotte, NC
09/2010 → Present

Vanguard Marketing Corporation

Charlotte, NC
06/2014 → Present

Vanguard Advisers, Inc.

Charlotte, NC

Other Businesses

NAME OF BUSINESS: POA FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: FIDUCIARY POSITION: POA START DATE: 12/2015 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: POA NAME OF BUSINESS: POA FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: FIDUCIARY POSITION: POA START DATE: 12/2015 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: POA NAME OF BUSINESS: FULL AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: FIDUCIARY POSITION: FULL AGENT START DATE: 10/2017 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FULL AGENT NAME OF BUSINESS: FULL AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: FIDUCIARY POSITION: FULL AGENT START DATE: 10/2017 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FULL AGENT

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2010-10-08

S63 Uniform Securities Agent State Law Examination

2010-10-08

Designations

Certified Financial Planner

Other Names

Diane Marie Schramm

View on SEC IAPD