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Anwesha Basu

Vanguard Advisers, Inc.

Charlotte, NC

CRD 4337044

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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

AuthorityCategoryStatusDate
NC RA APPROVED 2019-10-01
TX RA APPROVED 2019-10-01
  • NC RA
    APPROVED
    Since 2019-10-01
  • TX RA
    APPROVED
    Since 2019-10-01

Branch Locations

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Charlotte NC 11/2010 Present
Vanguard Advisers, Inc. Charlotte NC 10/2019 Present
Vanguard Marketing Corporation Charlotte NC 11/2010 Present
  • 11/2010 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
  • 10/2019 → Present
    Vanguard Advisers, Inc.
    Charlotte, NC
  • 11/2010 → Present
    Vanguard Marketing Corporation
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-11-29
  • S63 Uniform Securities Agent State Law Examination
    2010-11-29
Designations
  • Certified Financial Planner
Other Names
  • Anwesha Khindaria

View on SEC IAPD

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