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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-04-04 |
| VT | RA | APPROVED | 2023-07-20 |
| NC | RA | APPROVED | 2017-04-28 |
| TX | RA | APPROVED | 2017-04-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 03/2001 | Present |
| Earth Captured Photography | Cornelius | NC | 03/2017 | Present |
| Lake Norman Publication | Cornelius | NC | 01/2015 | 03/2017 |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 (1) NAME OF BUSINESS: SUGGS SPORTS MARKETING NON-INVESTMENT/INVESTMENT RELATED: NON-INVESTMENT RELATED ADDRESS (City/State): CORNELIUS, NC NATURE OF BUSINESS: POSITION: CONSULTANT START DATE (Month/Year): 05/2012 APPROXIMATE HOURS PER MONTH: NUMBER OF HOURS DURING TRADING HOURS: DUTIES: TAKE FANS ON TOURS OF THE NASCAR RACE TRACK (2) NAME OF BUSINESS: EARTH CAPTURED PHOTOGRAPHY NON-INVESTMENT/INVESTMENT RELATED: NON-INVESTMENT RELATED ADDRESS (City/State): CORNELIUS, NC NATURE OF BUSINESS: PHOTOGRAPHY POSITION: PHOTOGRAPHER START DATE (Month/Year): 01/2015 APPROXIMATE HOURS PER MONTH: 10 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: PHOTOGRAPHY (3) NAME OF BUSINESS: Limited agent for nephew NON-INVESTMENT/INVESTMENT RELATED: INVESTMENT RELATED ADDRESS (City/State): CORNELIUS, NC NATURE OF BUSINESS: POSITION: LIMITED AGENT START DATE (Month/Year): 09/2019 APPROXIMATE HOURS PER MONTH: 1 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: LIMITED AGENT
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-10-19 |
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