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Current Employers
Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2019-11-05
TX RA APPROVED_RES 2019-11-03
  • AZ RA
    APPROVED
    Since 2019-11-05
  • TX RA
    APPROVED_RES
    Since 2019-11-03

Branch Locations

14321 N 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. Malvern PA 06/2005 Present
Vanguard Marketing Corporation Malvern PA 06/2005 Present
Vanguard Advisers, Inc. Malvern PA 11/2019 Present
  • 06/2005 → Present
    The Vanguard Group, Inc.
    Malvern, PA
  • 06/2005 → Present
    Vanguard Marketing Corporation
    Malvern, PA
  • 11/2019 → Present
    Malvern, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-01
S63 Uniform Securities Agent State Law Examination 2005-03-11
  • S66 Uniform Combined State Law Examination
    2019-10-01
  • S63 Uniform Securities Agent State Law Examination
    2005-03-11

View on SEC IAPD

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