Best Investors Account Sign in

Christopher Douglas Gaffney

Vanguard Advisers, Inc.

Charlotte, NC

CRD 6958914

Claim This Profile
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 2020-11-30
TX RA APPROVED 2020-11-30
  • NC RA
    APPROVED
    Since 2020-11-30
  • TX RA
    APPROVED
    Since 2020-11-30

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
New York Life Insurance Company Charlotte NC 06/2018 08/2018
Nylife Securities, Llc Charlotte NC 08/2018 01/2020
Unemployed Charlotte NC 04/2018 06/2018
Enterprise Holdings Charlotte NC 08/2011 03/2018
The Vanguard Group, Inc. Charlotte NC 10/2020 Present
Unemployed Charlotte NC 02/2020 10/2020
Vanguard Marketing Corporation Charlotte NC 10/2020 Present
Vanguard Adviser'S, Inc. Charlotte NC 11/2020 Present
  • 06/2018 → 08/2018
    New York Life Insurance Company
    Charlotte, NC
  • 08/2018 → 01/2020
    Nylife Securities, Llc
    Charlotte, NC
  • 04/2018 → 06/2018
    Unemployed
    Charlotte, NC
  • 08/2011 → 03/2018
    Enterprise Holdings
    Charlotte, NC
  • 10/2020 → Present
    The Vanguard Group, Inc.
    Charlotte, NC
  • 02/2020 → 10/2020
    Unemployed
    Charlotte, NC
  • 10/2020 → Present
    Vanguard Marketing Corporation
    Charlotte, NC
  • 11/2020 → Present
    Vanguard Adviser'S, Inc.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-23
S63 Uniform Securities Agent State Law Examination 2018-11-19
  • S66 Uniform Combined State Law Examination
    2020-11-23
  • S63 Uniform Securities Agent State Law Examination
    2018-11-19

View on SEC IAPD

More in Charlotte, NC

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor