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Vanguard Advisers, Inc.

Charlotte, NC

CRD 7259367

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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
NY RA APPROVED 2023-06-15
NC RA APPROVED 2020-09-18
TX RA APPROVED 2020-09-18
  • NY RA
    APPROVED
    Since 2023-06-15
  • NC RA
    APPROVED
    Since 2020-09-18
  • TX RA
    APPROVED
    Since 2020-09-18

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • 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. Charlotte NC 06/2020 Present
Texas Tech University Lubbock TX 08/2019 05/2020
Fjy Financial Reston VA 05/2019 08/2019
First State Bank Abernathy TX 10/2018 05/2019
H.G Thrash Clothier Lubbock TX 07/2016 09/2018
Ups Lubbock TX 06/2018 08/2018
Texas Tech University Lubbock TX 08/2014 05/2018
Texas Tech University Lubbock TX 08/2018 05/2020
Vanguard Marketing Corporation Charlotte NC 06/2020 Present
  • 06/2020 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
  • 08/2019 → 05/2020
    Texas Tech University
    Lubbock, TX
  • 05/2019 → 08/2019
    Fjy Financial
    Reston, VA
  • 10/2018 → 05/2019
    First State Bank
    Abernathy, TX
  • 07/2016 → 09/2018
    H.G Thrash Clothier
    Lubbock, TX
  • 06/2018 → 08/2018
    Ups
    Lubbock, TX
  • 08/2014 → 05/2018
    Texas Tech University
    Lubbock, TX
  • 08/2018 → 05/2020
    Texas Tech University
    Lubbock, TX
  • 06/2020 → Present
    Vanguard Marketing Corporation
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-09-04
  • S66 Uniform Combined State Law Examination
    2020-09-04

View on SEC IAPD

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