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Erik Gunter Scharff

Vanguard Advisers, Inc.

Scottsdale, AZ

CRD 2880039

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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
IL RA APPROVED 2023-07-21
AZ RA APPROVED 2019-10-03
TX RA APPROVED_RES 2019-10-01
  • IL RA
    APPROVED
    Since 2023-07-21
  • AZ RA
    APPROVED
    Since 2019-10-03
  • TX RA
    APPROVED_RES
    Since 2019-10-01

Branch Locations

14321 N Northsight Blvd, Scottsdale, AZ 85260 • 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
OrganizationCityStateFromTo
The Vanguard Group, Inc. Scottsdale AZ 03/2011 Present
Apollo Group/ University Of Phoenix Phoenix AZ 08/2009 Present
  • 03/2011 → Present
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 08/2009 → Present
    Apollo Group/ University Of Phoenix
    Phoenix, AZ
Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 (1)NAME OF COMPANY: APOLLO GROUP/UNIVERSITY OF PHOENIX COMPANY ADDRESS: 4615 E ELWOOD ST., PHOENIX, AZ 85040 POSITION: ADJUNCT FACULTY MEMBER START DATE: 08/2009 HOURS WORKED PER MONTH: VARIES HOURS WORKED DURING SECURITIES TRADING HOURS: ZERO (2)NAME OF BUSINESS: FIDUCIARY FOR MOTHER INVESTMENT-RELATED: ADDRESS: SAN FRANCISCO, CA START DATE: 05/2000 APPROXIMATE HOURS/MONTH: 2 HOURS DEVOTED DURING TRADING HOURS: 0

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-04-19
S65 Uniform Investment Adviser Law Examination 1997-08-14
  • S63 Uniform Securities Agent State Law Examination
    2011-04-19
  • S65 Uniform Investment Adviser Law Examination
    1997-08-14
Designations
  • Certified Financial Planner
Other Names
  • Erik G Scharff

View on SEC IAPD

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