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Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2006-08-16
TX RA APPROVED_RES 2006-08-14
  • PA RA
    APPROVED
    Since 2006-08-16
  • TX RA
    APPROVED_RES
    Since 2006-08-14

Branch Locations

100 Vanguard Blvd, Malvern, PA 19482 • 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. Malvern PA 05/2003 Present
Vanguard Marketing Corporation Malvern PA 05/2003 Present
Vanguard Advisers, Inc. Malvern PA 08/2006 Present
  • 05/2003 → Present
    The Vanguard Group, Inc.
    Malvern, PA
  • 05/2003 → Present
    Vanguard Marketing Corporation
    Malvern, PA
  • 08/2006 → Present
    Malvern, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-18
S66 Uniform Combined State Law Examination 2002-07-25
  • S65 Uniform Investment Adviser Law Examination
    2006-09-18
  • S66 Uniform Combined State Law Examination
    2002-07-25

View on SEC IAPD

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