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Gustavo Sosa

Vanguard Advisers, Inc.

Scottsdale, AZ

CRD 6685281

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2026-07-17
AZ RA APPROVED 2026-04-06
TX RA APPROVED 2026-04-01
  • CA RA
    APPROVED
    Since 2026-07-17
  • AZ RA
    APPROVED
    Since 2026-04-06
  • TX RA
    APPROVED
    Since 2026-04-01

Branch Locations

14321 North Northsight Blvd, Scottsdale, AZ 85260 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc. Scottsdale AZ 07/2016 Present
Vanguard Marketing Corporation Scottsdale AZ 07/2016 Present
Vanguard Advisers, Inc. Scottsdale AZ 04/2026 Present
  • 07/2016 → Present
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 07/2016 → Present
    Vanguard Marketing Corporation
    Scottsdale, AZ
  • 04/2026 → Present
    Scottsdale, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-03-31
S63 Uniform Securities Agent State Law Examination 2016-08-26
  • S66 Uniform Combined State Law Examination
    2026-03-31
  • S63 Uniform Securities Agent State Law Examination
    2016-08-26
Other Names
  • Gustavo Sosa Aviles

View on SEC IAPD

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