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100 Vanguard Blvd, Malvern, PA 19355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-11 |
| NC | RA | APPROVED | 2022-12-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Charlotte | NC | 01/2016 | 10/2019 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 01/2016 | 10/2019 |
| United Capital Financial Advisers Llc | Newport Beach | CA | 10/2019 | 11/2022 |
| Goldman Sachs Personal Financialmanagement | Charlotte | NC | 10/2019 | 11/2022 |
| The Vanguard Group, Inc. | Charlotte | NC | 10/2022 | Present |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 (1) NAME OF BUSINESS: OPERATION SWEET TOOTH NON-INVESTMENT RELATED ADDRESS (City/State): CORNELIUS, NC NATURE OF BUSINESS: NON-PROFIT 501(C)3 POSITION: OWNER START DATE: 08/2016 APPROX. HOURS/MONTH: 20 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PROVIDE FOR UNDERSERVED CHILDREN IN OUR COMMUNITY AND TO PROTECT PUBLIC SPACES BY PROVIDING AEDs (2) NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT-RELATED ADDRESS (City/State): N. MYRTLE BEACH SC POSITION: LANDLORD/OWNER START DATE: 12/2018 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 (3) NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS (City/State): CORNELIUS, NC POSITION: N/A START DATE: 03/2021 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS:0 DUTIES: MAINTAIN LICENSE (4) NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT-RELATED ADDRESS (City/State): SUNSET BEACH, SC POSITION: LANDLORD/OWNER START DATE: 12/2023 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-01-24 |
| S66 | Uniform Combined State Law Examination | 2008-02-08 |
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