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Nicholas Paul Baker

Vanguard Advisers, Inc.

Charlotte, NC

CRD 7285435

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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
NC RA APPROVED 2023-06-27
SC RA APPROVED 2023-06-27
TX RA APPROVED 2023-06-27
  • NC RA
    APPROVED
    Since 2023-06-27
  • SC RA
    APPROVED
    Since 2023-06-27
  • TX RA
    APPROVED
    Since 2023-06-27

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 08/2020 Present
Unemployed Rock Hill SC 04/2020 08/2020
Winthrop University Rock Hill SC 08/2018 04/2020
Onemain Financial Rock Hill SC 12/2018 07/2019
Lowe's Rock Hill SC 02/2018 07/2018
East Coast Pyrotechnics Rock Hill SC 05/2017 09/2017
York Technical College Rock Hill SC 08/2016 05/2018
  • 08/2020 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
  • 04/2020 → 08/2020
    Unemployed
    Rock Hill, SC
  • 08/2018 → 04/2020
    Winthrop University
    Rock Hill, SC
  • 12/2018 → 07/2019
    Onemain Financial
    Rock Hill, SC
  • 02/2018 → 07/2018
    Lowe's
    Rock Hill, SC
  • 05/2017 → 09/2017
    East Coast Pyrotechnics
    Rock Hill, SC
  • 08/2016 → 05/2018
    York Technical College
    Rock Hill, SC
Other Businesses

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-26
S63 Uniform Securities Agent State Law Examination 2020-09-24
  • S66 Uniform Combined State Law Examination
    2023-06-26
  • S63 Uniform Securities Agent State Law Examination
    2020-09-24
Other Names
  • Nicholas Baker

View on SEC IAPD

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