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100 Vanguard Blvd, Malvern, PA 19355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-06-14 |
| TX | RA | APPROVED_RES | 2022-06-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Scottsdale | AZ | 04/2016 | 08/2017 |
| Phoenix Rising Fc Youth Soccer | Cave Creek | AZ | 04/2008 | 04/2021 |
| Notre Dame Preparatory High School | Scottsdale | AZ | 07/2008 | 03/2018 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 11/2016 | 08/2017 |
| E3Wealth | Scottsdale | AZ | 11/2017 | 06/2020 |
| Emerson Equity Llc | Scottsdale | AZ | 06/2020 | 08/2020 |
| Goldbook Financial | Scottsdale | AZ | 08/2020 | 05/2022 |
| Goldbook Financial | Scottsdale | AZ | 10/2020 | 05/2022 |
| Wells Fargo Private Mortgage Bank | Scottsdale | AZ | 05/2015 | 08/2017 |
| The Vanguard Group, Inc | Scottsdale | AZ | 05/2022 | 07/2024 |
| Rsl-Az Soccer Club | Scottsdale | AZ | 04/2021 | 01/2025 |
| The Vanguard Group, Inc. | Plano | TX | 07/2024 | Present |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: LIFE AND HEALTH INSURANCE LICENSE INVESTMENT RELATED ADDRESS: Scottsdale, AZ NATURE OF BUSINESS: INSURANCE POSITION: N/A START DATE: 05/2017 APPROXIMATE HOURS PER MONTH: 0 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: SELF-EMPLOYED NON-INVESTMENT RELATED ADDRESS: FRISCO, TX NATURE OF BUSINESS: SOCCER COACH POSITION: CONTRACTED WITH FC DALLAS START DATE: 01/2025 APPROXIMATE HOURS/MONTH: 80 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: COACH YOUTH SOCCER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 2016-10-20 |
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