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Nicholas Ryan Mercer

Vanguard Advisers, Inc.

Charlotte, NC

CRD 5215799

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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
NC RA APPROVED 2022-03-24
TX RA APPROVED 2022-03-18
  • NC RA
    APPROVED
    Since 2022-03-24
  • TX RA
    APPROVED
    Since 2022-03-18

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Vanguard Marketing Corporation Charlotte NC 03/2022 Present
Vanguard Advisers, Inc Charlotte NC 03/2022 Present
The Department Of The Navy Washington DC 07/2017 09/2017
Usaa Tampa FL 02/2015 04/2021
Fisher Investments Tampa FL 05/2021 12/2021
The Vanguard Group, Inc. Charlotte NC 03/2022 Present
Suncoast Credit Union Tampa FL 01/2022 02/2022
Ups Tampa FL 12/2021 01/2022
  • 03/2022 → Present
    Vanguard Marketing Corporation
    Charlotte, NC
  • 03/2022 → Present
    Charlotte, NC
  • 07/2017 → 09/2017
    The Department Of The Navy
    Washington, DC
  • 02/2015 → 04/2021
    Usaa
    Tampa, FL
  • 05/2021 → 12/2021
    Tampa, FL
  • 03/2022 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
  • 01/2022 → 02/2022
    Suncoast Credit Union
    Tampa, FL
  • 12/2021 → 01/2022
    Ups
    Tampa, FL
Previous Registrations
Other Businesses

NAME OF BUSINESS: Insurance License INVESTMENT RELATED ADDRESS (City/State): Land O Lakes, FL NATURE OF BUSINESS: Insurance POSITION: N/A START DATE: 2/2015 APPROX. HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: Maintain only

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-21
S63 Uniform Securities Agent State Law Examination 2006-09-18
  • S66 Uniform Combined State Law Examination
    2014-08-21
  • S63 Uniform Securities Agent State Law Examination
    2006-09-18
Other Names
  • Nicholas Ryan Mercer
  • Nick Ryan Mercer
  • Nicholas Mercer
  • Nicholas R Mercer
  • Nick Mercer

View on SEC IAPD

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