Karla Kennedy Hicks

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

Authority	Category	Status	Date
SC	RA	APPROVED	2022-10-10
NC	RA	APPROVED	2019-10-04
TX	RA	APPROVED_RES	2019-10-02

SC RA
APPROVED

Since 2022-10-10
NC RA
APPROVED

Since 2019-10-04
TX RA
APPROVED_RES

Since 2019-10-02

Branch Locations

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
The Vanguard Group, Inc.	Charlotte	NC	04/2010	Present
Home Healthcare Worker	Charlotte	NC	07/2020	10/2025
Vanguard Marketing Corporation	Charlotte	NC	04/2010	Present
Vanguard Advisors, Inc.	Charlotte	NC	10/2019	Present

04/2010 → Present

The Vanguard Group, Inc.

Charlotte, NC
07/2020 → 10/2025

Home Healthcare Worker

Charlotte, NC
04/2010 → Present

Vanguard Marketing Corporation

Charlotte, NC
10/2019 → Present

Vanguard Advisors, Inc.

Charlotte, NC

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2012-07-20

S63 Uniform Securities Agent State Law Examination

2012-07-20

Designations

Certified Financial Planner

Other Names

Karla Alane Kennedy
Karla Alane Kennedy
Karla Kennedy Newman
Karla Kennedy Newman

View on SEC IAPD