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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2024-05-03 |
| SC | RA | APPROVED | 2020-04-29 |
| NC | RA | APPROVED | 2014-06-04 |
| TX | RA | APPROVED | 2012-06-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 08/2007 | Present |
| Vanguard Advisers, Inc. | Charlotte | NC | 06/2012 | Present |
| Vnaguard Marketking Corporation | Charlotte | NC | 08/2007 | Present |
NAME OF BUSINESS: LIMITED AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: FORT MILL, SC NATURE OF BUSINESS:FIDUCIARY POSITION: LIMITED AGENT START DATE:01/2020 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LIMITED AGENT ON ACCOUNT NAME OF BUSINESS: LIMITED AGENT FOR IMMEDIATE FAMILY MEMBER INVESTMENT-RELATED ADDRESS: FORT MILL, SC NATURE OF BUSINESS:FIDUCIARY POSITION: LIMITED AGENT START DATE:01/2020 APPROXIMATE HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LIMITED AGENT ON ACCOUNT
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-09-05 |
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