Ken Ota Carlson

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

• 04/2021 → Present
  The Vanguard Group, Inc.
  Charlotte, NC
• 12/2018 → 04/2021
  Techtronic Industries
  Charlotte, NC
• 07/2018 → 12/2018
  Techtronic Industries
  Portland, OR
• 09/2014 → 06/2018
  University Of Oregon
  Eugene, OR
• 07/2017 → 09/2017
  Delta Airlines
  Minato
• 07/2016 → 09/2016
  Foresters Financial
  Beaverton, OR
• 04/2021 → Present
  Vanguard Marketing Corporation
  Charlotte, NC
• 06/2024 → Present
  Vanguard Advisers, Inc.
  Charlotte, NC

Other Businesses

NAME OF BUSINESS: KOC, LLC INVESTMENT RELATED: Rental Properties ADDRESS (City/State): Portland, OR NATURE OF BUSINESS: Rental properties POSITION: Owner START DATE (Month/Year): 10/2021 APPROXIMATE HOURS PER MONTH: 2 NUMBER OF HOURS DURING TRADING HOURS: 0

Exams

• S63 Uniform Securities Agent State Law Examination
  2021-06-15

Designations

• Certified Financial Planner

Other Names

• Ken Ota Carlson
• Ken Carlson