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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 | 2023-04-27 |
| AZ | RA | APPROVED | 2023-04-19 |
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 |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 01/2023 | Present |
| Adt | Phoenix | AZ | 06/2020 | 03/2021 |
| Self-Employed | Phoenix | AZ | 03/2021 | 01/2023 |
| Dignity Memorial | Glendale | AZ | 06/2018 | 06/2020 |
| American Income Life | Phoenix | AZ | 06/2017 | 05/2018 |
| Bankers Life | Phoenix | AZ | 05/2016 | 05/2017 |
| Mutual Of Omaha | Phoenix | AZ | 08/2017 | 01/2023 |
| Self-Employed | Glendale | AZ | 01/1996 | Present |
| Mass Mutual | Scottsdale | AZ | 01/2018 | 06/2018 |
| Vanguard Marketing Corporation | Scottsdale | AZ | 01/2023 | Present |
| Vanguard Advisers, Inc. | Scottsdale | AZ | 04/2023 | Present |
NAME OF BUSINESS: SELF-EMPLOYED NON-INVESTMENT-RELATED ADDRESS: PHOENIX, AZ NATURE OF BUSINESS: OTHER POSITION: GOLF INSTRUCTOR START DATE: 01/1996 APPROXIMATE HOURS/MONTH: 1 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: TEACH OTHERS HOW TO IMPROVE THEIR GOLF GAME
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 2003-03-17 |
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