Simon Alexander Cain

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → 10/2016
  Unemployed
  Glendale, AZ
• 10/2016 → 02/2021
  Edward Jones
  Tempe, AZ
• 07/2021 → Present
  The Vanguard Group, Inc.
  Scottsdale, AZ
• 03/2021 → 07/2021
  Unemployed
  Glendale, AZ
• 08/2007 → Present
  Az Dynamic Sports
  Glendale, AZ
• 05/2024 → Present
  Ironwood High School
  Glendale, AZ

Previous Registrations

• 2017-02-14 → 2021-03-15
  Edward Jones
  Tempe, AZ
• 2013-07-01 → 2016-09-08
  Usaa Financial Planning Services
  Phoenix, AZ

Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355. NAME OF BUSINESS: AZ DYNAMIC SPORTS NON-INVESTMENT RELATED ADDRESS (CITY/STATE): GLENDALE, AZ NATURE OF BUSINESS: LLC POSITION: OWNER START DATE: 8/1/2007 APPROX. HOURS/MONTH: 25 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COACHING NAME OF BUSINESS:- AZ DYNAMIC SPORTS FOUNDATION NON-INVESTMENT RELATED ADDRESS (CITY/STATE): GLENDALE, AZ NATURE OF BUSINESS: NON-PROFIT POSITION: DIRECTOR START DATE:8/2010 APPROX. HOURS/MONTH: 4 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ORGANIZE ACTIVITIES NAME OF BUSINESS: IRONWODD HIGH SCHOOL NON-INVESTMENT RELATED ADDRESS (CITY/STATE): GLENDALE, AZ NATURE OF BUSINESS: OTHER POSITION: COACH START DATE: 5/2024 APPROX. HOURS/MONTH: 15 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COACHING FOOTBALL

Exams

• S66 Uniform Combined State Law Examination
  2013-06-12
• S63 Uniform Securities Agent State Law Examination
  2008-02-19

Other Names

• Simon A Cain
• Simon Alexander Cain
• Simon Cain