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Vanguard Advisers, Inc. CRD 106715
$345B regulatory AUM 89,430 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
100 Vanguard Blvd, Malvern, PA 19355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-11-20 |
| AZ | RA | APPROVED | 2021-07-22 |
| TX | RA | APPROVED_RES | 2021-06-12 |
Branch Locations
14321 North Northsight Blvd., Scottsdale, AZ 85260 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northern Trust Bank | Chicago | IL | 05/2012 | 05/2021 |
| Northern Trust Securities Inc | Chicago | IL | 06/2012 | 05/2021 |
| The Vanguard Group Inc. | Scottsdale | AZ | 05/2021 | Present |
| Self-Employed | Phoenix | AZ | 04/2021 | Present |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: SELF-EMPLOYED NON-INVESTMENT RELATED ADDRESS (CITY/STATE): PHOENIX, AZ NATURE OF BUSINESS: RETAIL/SERVICE POSITION: CONTRACTED WITH DOORDASH START DATE (MONTH/YEAR): APRIL/2021 APPROXIMATE HOURS PER MONTH: 15 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: DRIVER FOR DOORDASH
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-26 |
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