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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-10-12 |
| NC | RA | APPROVED | 2018-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 06/2005 | 01/2017 |
| Tiaa | Charlotte | NC | 03/2013 | 01/2017 |
| Creative Planning | Charlotte | NC | 01/2017 | 02/2018 |
| The Vanguard Group, Inc. | Charlotte | NC | 09/2018 | Present |
| Unemployed | Charlotte | NC | 02/2018 | 09/2018 |
| Vanguard Marketing Corporation | Charlotte | NC | 09/2018 | Present |
| Vanguard Advisers, Inc. | Charlotte | NC | 09/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-18 |
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