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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-02-14 |
| NC | RA | APPROVED | 2021-11-18 |
| TX | RA | APPROVED_RES | 2021-11-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Breckenridge | CO | 05/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Mount Pleasant | SC | 11/2016 | 02/2019 |
| Wells Fargo Bank Na | Frisco | CO | 09/2015 | 12/2018 |
| Wells Fargo Bank Na | Mount Pleasant | SC | 12/2018 | 02/2019 |
| Unemployed | Charlotte | NC | 02/2019 | 04/2019 |
| Ubs Financial Services Inc | Charlotte | NC | 04/2019 | 06/2019 |
| Bb&T | Charlotte | NC | 07/2019 | 10/2021 |
| Bb&T Securities, Llc | Charlotte | NC | 08/2019 | 10/2021 |
| Truist Investment Services, Inc. | Charlotte | NC | 02/2021 | 10/2021 |
| Truist Advisory Services, Inc. | Charlotte | NC | 02/2021 | 10/2021 |
| The Vanguard Group Inc. | Charlotte | NC | 11/2021 | Present |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: TARHEEL TRAILBLAZERS INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC POSITION: BOARD MEMBER (TREASURER) START DATE: 7/2024 APPROXIMATE HOURS/MONTH: 4 HOURS DEVOTED DURING TRADING HOURS: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 2012-07-11 |
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